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Paul Raehpour Allegedly Engaged in Unauthorized Trading

Paul Raehpour (CRD #: 4508598), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on September 6, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On June 5, 2024, an investor alleged that Paul Raehpour engaged in unauthorized trading. 

This is the third investor dispute on his record. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Unauthorized trading violates this rule. 

Background Information 

Paul Raehpour has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination 
  • Series 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in 30 states and is a registered investment adviser in Texas. 

During his 22 years of experience, Paul Raehpour has registered with the following firms: 

  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
  • UBS Financial Services (CRD #: 8174) 
  • Morgan Stanley & Co. (CRD #: 8209) 
  • Morgan Stanley DW (CRD #: 7556) 

Kurta Law Can Help 

If you worked with Paul Raehpour and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.

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