Paul Fishman (CRD #2299643) Has an Employment Separation and Judgment/Lien Disclosure on FINRA BrokerCheck
Paul Fishman (CRD #2299643) has been the subject of disclosure events, which have recently been reported on his FINRA BrokerCheck Report. According to Paul Fishman’s FINRA BrokerCheck report accessed on January 22, 2026, Paul Fishman has been the subject of one employment separation disclosure and one judgment/lien disclosure. If you invested with Paul Fishman and you have concerns about his activity, keep reading.
BrokerCheck link: BrokerCheck
BrokerCheck report: BrokerCheck Report (PDF)
Employment Separation
Paul Fishman FINRA BrokerCheck report reflects one employment separation disclosure. A summary of the disclosure is below:
On November 14, 2025, Paul Fishman was permitted to resign from Edward Jones. The disclosure states there were concerns Paul Fishman did not adhere to firm policies, including signatures in related persons’ accounts. The product type listed on the disclosure is No Product.
Judgment / Lien
Paul Fishman FINRA BrokerCheck report reflects one judgment/lien disclosure. A summary of the disclosure is below:
The report reflects a civil judgment/lien in the amount of $1,730.00, filed on September 1, 2009. The judgment/lien holder is listed as WESTCHESTER ANESTHESIO, and the disclosure indicates the judgment/lien was outstanding.
Rule summary #1: FINRA Rule 4511 (General Requirements)
FINRA Rule 4511 (General Requirements) requires member firms to make and preserve books and records as required under FINRA rules and applicable securities laws and regulations.
Rule summary #2: FINRA Rule 3110 (Supervision)
FINRA Rule 3110 (Supervision) requires firms to establish and maintain a supervisory system, including written procedures, designed to achieve compliance with applicable securities laws and regulations.
Why this Matters to Investors (Regulation Best Interest)
Regulation Best Interest (Reg BI) is a U.S. securities regulation designed to strengthen the standard of conduct that broker-dealers owe to retail investors when making recommendations about securities transactions or investment strategies. Adopted by the U.S. Securities and Exchange Commission and effective as of June 30, 2020, Reg BI aims to enhance investor protection while preserving investor access to brokerage products and services.
Reg BI requires broker-dealers and financial advisors to act in the best interest of the retail customer at the time a recommendation is made, and not to place their own financial or other interests ahead of the customer’s. This represents a higher standard than the historical “suitability” requirement, which only required that recommendations be suitable, not necessarily optimal or conflict-free.
Reg BI is built around four key obligations:
- Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and recommendations, including fees, scope of services, and conflicts of interest.
- Care Obligation – Recommendations must be made with reasonable diligence, care, and skill, considering costs, risks, and alternatives.
- Conflict of Interest Obligation – Firms must identify, disclose, and mitigate or eliminate conflicts, particularly those that create incentives to favor one product over another.
- Compliance Obligation – Firms must establish policies and procedures designed to ensure compliance with Reg BI as a whole.
Importantly, Reg BI applies at the recommendation level, not as a continuous duty like the fiduciary standard applicable to registered investment advisers. Still, it significantly narrows the gap by emphasizing cost considerations, conflict management, and investor-focused decision-making.
Overall, Regulation Best Interest seeks to promote transparency, improve the quality of investment recommendations, and reinforce trust between retail investors and broker-dealers in the U.S. securities markets.
Background Information (from BrokerCheck)
Based on his BrokerCheck Report, Paul Fishman:
Is not currently registered.
Has passed the Securities Industry Essentials (SIE), Series 7, and Series 66 exams.
Was previously registered with firms that include Edward Jones, Ameriprise Financial Services, LLC, and Pruco Securities, LLC.
Kurta Law Can Help
If you have worked with Paul Fishman and you have concerns about his activity, Kurta Law may be able to help you evaluate potential recovery options. You may be entitled to pursue a claim through FINRA arbitration, depending on the facts of your situation and the investments involved. Contact Kurta Law at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
Helpful resources: Stockbroker Forgery | Failure to Supervise
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