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Investor Seeks Six Figures in Dispute with Paul Gomperz

Paul Gomperz (CRD #: 224867), a broker registered with IBN Financial Services, is the subject of a pending dispute, according to his BrokerCheck record, accessed on April 20, 2023. Keep reading if you have questions about his alleged conduct as a broker.

Investor Dispute

On March 14, 2023, an investor filed a dispute alleging Paul Gomperz violated the suitability rule with regard to investments offered by GWG Holdings. The client seeks $158,000 in damages in this pending dispute.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to take into account investors’ financial goals when recommending investments. Brokers must consult an investor’s profile, which describes the following characteristics:

  • Age
  • Financial goals
  • Risk tolerance
  • Time horizon (i.e., how long the investment will be held)
  • Investing experience
  • Tax status

Investors who rely on brokers for investment recommendations can potentially recover their losses by pursuing FINRA arbitration.

Background Information

Paul Gomperz has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 7TO – General Securities Representative Examination
  • SIE – Securities Industry Essentials Examination
  • Series 1 – Registered Representative Examination
  • Series 00 – General Securities Principal Examination

Paul Gomperz is not currently a registered broker in any state.

He has also worked for the following firms:

  • B. Riley Wealth Management (CRD#:2543)
  • National Securities Corporation (CRD#:7569)
  • LPL Financial (CRD#:6413)
  • Summit Asset Management (CRD#:128888)
  • Nationwide Planning Associates (CRD#:31029)
  • Industry Savings Plans (CRD#:425)
  • FIA Capital Group (CRD#:19074)
  • J. B. Hanauer & Company (CRD#:6958)

Kurta Law Can Help

If you worked with Paul Gomperz and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.