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Paul Marston Allegedly Failed to Properly Explain Risks

Paul Marston (CRD #: 2344305), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, was the subject of a recent investor dispute, according to his BrokerCheck record, accessed on February 8, 2023. Keep reading to learn more about his alleged conduct as a broker.

Investor Dispute

On September 30, 2022, an investor alleged Paul Marston failed to accurately explain the risks associated with an investment. The client sought $57,380 in damages but the dispute was denied by the firm.

Investors should know, however, that firms can deny disputes without an outside review. Investors may be able to recoup their losses by pursuing FINRA arbitration following a denial.

FINRA Rule 2020

FINRA Rule 2020 bans the use of manipulative, deceptive, or otherwise unethical means of influencing investors’ decisions. Misrepresenting or omitting information about an investment’s requirements, potential risks, or other relevant information violates this rule.

Background Information

Paul Marston has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Paul Marston is a registered broker in six states and a registered investment adviser in Texas.

He has also worked for the following firms:

  • PNC Investments (CRD#:129052)
  • PNC Managed Account Solutions (CRD#:110476)
  • BBVA Securities (CRD#:27060)
  • BBVA Compass Investment Solutions (CRD#:17086)
  • BB&T Investment Services (CRD#:33856)
  • Lincoln Financial Securities (CRD#:3870)
  • MetLife Securities (CRD#:14251)
  • Metropolitan Life Insurance Company (CRD#:4095)
  • Princor Financial Services Corporation (CRD#:1137)
  • NYLIFE Securities (CRD#:5167)

Kurta Law Can Help

If you worked with Paul Marston 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.