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Paul Saldana Embroiled in Investor Dispute for Allegedly Failing to Follow Instructions

Jan 18, 2022 Investor Disputes

Paul Saldana (CRD #:4137683), a registered broker and investment advisor with Morgan Stanley, is involved in an investor dispute, according to his BrokerCheck record, accessed on January 5, 2021.  

According to the allegations filed on October 28, 2021, Paul Saldana failed to follow instructions regarding a stock trade order from October 2021. The case was denied but investors should know that they can still recover losses following a denial. 

It is the duty of a stockbroker to execute a customer's orders promptly in a manner best suited to serve the customer's best interest. When a broker fails to follow your instruction or execute your order promptly, you may be able to recover your investment losses through FINRA arbitration.  

Failure to follow customer instructions violates FINRA Rule 2010, which requires all registered members to observe high standards of commercial honor and just principles in their business dealings.  

Background Information 

Paul Saldana 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 

Paul Saldana is a registered broker in 31 states. He is also a registered investment advisor in Texas and Florida. 

Besides Morgan Stanley, Paul Saldana has worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) 

Kurta Law Can Help 

If you have worked with Paul Saldana and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or 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 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.