PAUL CHARLES FRAGAKIS

PAUL CHARLES FRAGAKIS is currently employed as a Broker and/or Investment Adviser at FIDELITY BROKERAGE SERVICES LLC located at 3242 PEACHTREE ROAD, SUITE 100, ATLANTA, GA, 30305.

PAUL CHARLES FRAGAKIS has worked at FIDELITY BROKERAGE SERVICES LLC since April 21, 2015

Disclosure History

PAUL CHARLES FRAGAKIS has 2 Disclosure Event(s).

Date: December 01, 1997
Category: Customer Dispute
Allegations: THE CLIENT IS ALLEGING THAT BETWEEN OCTOBER1996 AND OCTOBER 1997. I MISREPRESENTED MATERIAL FACTSRELATING TO MY CONTINUING RECOMMENDATIONS TO PURCHASE CITYSCAPEFINANCIAL INC STOCK (CTYS). THE CLIENT ALSO ALLEGES THAT CTYSWAS A UNSUITABLE INVESTMENT, AND RESULTED IN LOSSES IN EXCESSOF $350,000
Broker Comment: DENIEDTHIS MATTER DOES NOT INVOLVE OPTIONS.

Date: August 22, 1997
Category: Customer Dispute
Allegations: THIS CLIENT FILED A COMPLAINT WHICH ALLEGEDTHAT AN AUGUST 8, 1997 SALE OF 2,5000 SHARES OF ISOLYSER CO.INC. STOCK WAS UNAUTHORIZED. THE COMPLAINT ALSO ALLEGED THAT IMISREPRESENTED HAVING INSIDER INFORMATION CONCERNING CITYSCAPEFINANCIAL CP. WE HAVE DETERMINED THAT THE DAMAGES FROM THEALLEGED CONDUCT WOULD BE MORE THAN $5,000 (EMPLOYING FIRM WHENEVENTS OCCURRED-BEAR, STEARNS & CO. INC.)
Broker Comment: DENIEDOUR INVESTIGATION HAS SHOWN THAT THE SHARES OFISOLYSER CO. INC. STOCK WERE SOLD TO MEET A HOUSE MARGIN CALL.THIS MATTER DOES NOT INVOLVE OPTIONS.

More Information

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