PAUL SAMUEL EHRENSTEIN

PAUL SAMUEL EHRENSTEIN is currently employed as a Broker and/or Investment Adviser at KATALYST SECURITIES LLC located at 25-40 SHORE BOULEVARD, APT 5 O, ASTORIA, NY, 11102.

PAUL SAMUEL EHRENSTEIN has worked at KATALYST SECURITIES LLC since April 27, 2004

Disclosure History

PAUL SAMUEL EHRENSTEIN has 3 Disclosure Event(s).

Date: October 29, 2010
Category: Judgment / Lien
Judgment/Lien Amount: $12,939.48
Judgment/Lien Type: Civil
Broker Comment: A STIPULATION OF SETTLEMENT WAS AGREED TO ON APRIL 13, 2015 REQUIRING MONTHLY PAYMENTS OF $1,334 COMMENCING ON APRIL 29 FOR 6 MONTHS FOR A TOTAL OF $8,000

Date: August 09, 2006
Category: Regulatory

Date: November 18, 2003
Category: Regulatory

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 PAUL SAMUEL EHRENSTEIN, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.