DAVID CLAIRE PAULSON is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 2208 E BROADWAY AVE, BISMARCK, ND, 58501.
DAVID CLAIRE PAULSON has worked at SECURITIES AMERICA, INC. since June 05, 2013
Disclosure History
DAVID CLAIRE PAULSON has 3 Disclosure Event(s).
Date: January 06, 2009 Category: Customer Dispute Allegations: PLAINTIFF ALLEGED THAT STARTING IN 1986, SHE MET WITH [THIRD PARTY], AN INDIVIDUAL WHO WAS A REGISTERED REPRESENTATIVE AND OFFICER OF EAGLE ONE INVESTMENTS, LLC. [THIRD PARTY] ALLEGEDLY SOLD THE PLAINTIFF FRAUDULENT INVESTMENTS. THERE ARE NO ALLEGATIONS AGAINST DAVID PAULSON DIRECTLY. MR. PAULSON IS ONLY A DEFENDANT IN THE LAWSUIT BECAUSE HE WAS AN OFFICER OF EAGLE ONE INVESTMENTS, LLC. Settlement Amount: $620,000.00 Broker Comment: MR. PAULSON WAS RELEASED AS A RESULT OF A SETTLEMENT BETWEEN [CUSTOMER] AND EAGLE ONE INVESTMENTS, LLC. MR. PAULSON WAS NAMED AS A DEFENDANT SOLELY BECAUSE HE WAS LISTED AS AN OFFICER OF EAGLE ONE INVESTMENTS, LLC.
Date: November 14, 2008 Category: Customer Dispute Allegations: PLAINTIFFS ALLEGE THAT, STARTING IN 1991, THEY MET WITH [THIRD PARTY], AN INDIVIDUAL WHO LATER BECAME A REGISTERED REPRESENTATIVE AND OFFICER OF EAGLE ONE INVESTMENTS, LLC. [THIRD PARTY] ALLEGEDLY SOLD PLAINTIFFS FRAUDULENT CDS. THERE ARE NO ALLEGATIONS AGAINST DAVID PAULSON DIRECTLY. MR. PAULSON IS ONLY A DEFENDANT IN THIS LAWSUIT BECAUSE HE WAS AN OFFICER OF EAGLE ONE INVESTMENTS, LLC. Damage Amount Requested: $45,000.00 Settlement Amount: $30,000.00 Broker Comment: MR. PAULSON WAS RELEASED FROM AS A RESULT OF THE SETTLEMENT BETWEEN THE CLIENT AND EAGLE ONE INVESTMENTS, LLC. HE WAS NAMED SOLELY BECAUSE HE WAS AN LISTED AS AN OFFICER OF EAGLE ONE INVESTMENTS, LLC.
Date: November 14, 2008 Category: Customer Dispute Allegations: PLAINTIFFS ALLEGE THAT, STARTING IN 2003, THEY MET WITH [THIRD PARTY], AN INDIVIDUAL WHO WAS A REGISTERED REPRESENTATIVE AND OFFICER OF EAGLE ONE INVESTMENTS, LLC. [THIRD PARTY] ALLEGEDLY SOLD PLAINTIFFS FRAUDULENT INVESTMENTS, INCLUDING CDS AND TREASURY STRIPS. THERE ARE NO ALLEGATIONS AGAINST DAVID PAULSON DIRECTLY. MR. PAULSON WAS ONLY A DEFENDANT IN THIS LAWSUIT BECAUSE HE WAS AN OFFICER OF EAGLE ONE INVESTMENTS, LLC. Damage Amount Requested: $150,000.00 Settlement Amount: $420,000.00 Broker Comment: MR. PAULSON WAS RELEASED AS A RESULT OF A SETTLEMENT BETWEEN [CUSTOMERS] AND EAGLE ONE INVESTMENTS, LLC. MR. PAULSON WAS NAMED AS A DEFENDANT SOLELY BECAUSE HE WAS LISTED AS AN OFFICER OF EAGLE ONE INVESTMENTS, LLC.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for DAVID CLAIRE PAULSON, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.