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Rajen Duggal Fired from Paulson Investment Company

Rajen Duggal (CRD #: 6505933), a broker formerly registered with Paulson Investment Company, allegedly failed to disclose his involvement in an outside business activity, according to his BrokerCheck record, accessed on April 11, 2023. Keep reading to learn more about his alleged conduct as a broker.

Termination from Paulson Investment Company

On March 8, 2023, Rajen Duggal was fired from Paulson Investment Company after the firm allegedly found that he violated FINRA Rule 3270 and firm policies by failing to disclose an outside business activity.

FINRA Rule 3270

FINRA Rule 3270 requires brokers to seek and receive approval from their firm for any outside business activities they engage in.

Other Business Activities

Rajen Duggal’s detailed Brokercheck report does not currently list any outside business activities.

Background Information

Rajen Duggal has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 66 – Uniform Combined State Law Examination
  • Series 7TO – General Securities Representative Examination
  • Series 7 – General Securities Representative Examination

He has also worked for Paulson Investment Company (CRD#:5670) and Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691).

Kurta Law Can Help

If you worked with Rajen Duggal and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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. 

 

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