Paul Edward Soll (CRD#: 430284) was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm on July 12, 2018. The Financial Industry Regulatory Authority Inc. barred Paul Soll for allegedly failing to provide FINRA with information about his trading activity while he was employed by Financial West Group in Los Angeles, California.
FINRA was allegedly investigating Poll for potential trading abuses in the account of one of Paul Soll's elderly clients. These trades allegedly involved possible excessive trading, churning and unsuitable recommendations of penny stocks between January 2013 and December 2015. Soll was with Financial West Group of Los Angeles from June 25, 2012 through August 21, 2017.
In the one “Customer Dispute” listed on Paul Soll’s BrokerCheck, which is available to the public on FINRA’s website, the undated allegations from the client were as follows: alleging breach of contract, breach of fiduciary duty, and misrepresentation in the sale of US Treasure Bonds on a leveraged basis.” The settlement amount was $660,574.00.
It was reported that Paul Soll recently resigned from Western International Securities, of Los Angeles, California.
According to FINRA’s BrokerCheck, Paul Soll has been in the securities industry for 41 years and was with 7 firms, the most recent are listed below:
08/21/2017 - 06/22/2018 WESTERN INTERNATIONAL SECURITIES INC - Los Angeles, CA
06/25/2012 - 08/21/2017 FINANCIAL WEST GROUP - LOS ANGELES, CA
06/06/1986 - 10/03/2012 SRM SECURITIES INCORPORATED - LOS ANGELES, CA
If you or an elderly loved one were former clients of Paul Soll who was formerly with FINANCIAL WEST GROUP of LOS ANGELES, CA, and experienced losses due to his actions or recommendations, contact Soreide Law Group for a no cost consultation with an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA. We operate on a contingency fee basis, no fee to you if no recovery.
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