Raymond Guarini Permitted to Resign by Paulson Investment Company

Raymond Guarini (CRD #: 4699488) has been permitted to resign by Paulson Investment Company of New York, New York. This disclosure appears on his BrokerCheck record, accessed on October 6, 2023. Keep reading if you have questions. 

On September 13, 2023, Paulson Investment Company permitted Raymond Guarini to resign following allegations that he recommended customers sell a security that was on the firm’s restricted list, in violation of firm policy. 

Restricted securities are non-registered securities that are not sold on a public exchange. Reselling restricted securities requires adhering to the criteria set forth by Rule 144. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Recommending a sale that violates firm policy may violate this rule. 

Background Information 

Raymond Guarini has passed the following exams:

• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• Series 72 Government Securities Representative Examination 
• Series 79TO Investment Banking Registered Representative Examination
• Series 52TO Municipal Securities Representative Examination 
• SIE – Securities Industry Essentials Examination 
• Series 87 Research Analyst Exam – Part II Regulations Module 
• Series 7 General Securities Representative Examination 
• Series 24 General Principal Examination 
• Series 10 General Securities Sales Supervisor – General Module Examination 

He has registered with 16 firms in his 19 years of experience: 

• Paulson Investment Company (CRD #: 5670)
• Worden Capital Management (CRD #: 148366)
• Westpark Capital (CRD #: 39914) 
• First Standard Financial Company (CRD #: 168340) 
• Meyers Associates L.P. (CRD #: 34171) 
• Blackwall Capital Markets (CRD #: 144403) 
• American Capital Partners (CRD #: 119249) 
• Charles Vista (CRD #: 132650) 
• Brookstone Securities (CRD #: 13366) 
• First Midwest Securities (CRD #: 21786) 
• Brecek & Young Advisors (CRD #: 40395) 
• John Thomas Financial (CRD #: 40982) 
• National Securities Corporation (CRD #: 7569) 
• Chase Investment Services Corp. (CRD #: 25574) 
• S.W. Bach & Company (CRD #: 43522) 
• Joseph Stevens & Company (CRD #: 35459) 

Kurta Law Can Help

If you worked with Raymond Guarini and 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 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.