RICHARD BAREND PAUL is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES FINANCIAL SERVICES, INC. located at 870 MARKET STREET, SUITE 711, SAN FRANCISCO, CA, 94102.
RICHARD BAREND PAUL has worked at RAYMOND JAMES FINANCIAL SERVICES, INC. since July 30, 2004
Disclosure History
RICHARD BAREND PAUL has 1 Disclosure Event(s).
Date: October 27, 2004 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT HER FA HAD A FIDUCIARY DUTY TO BE AWARE OF HARTFORD'S POLICY OD APPLYING DEATH CERTIFICATES TO THEIR ANNUITY CONTRACTS. DEATH BENEFIT PAID TO CONTRACT WITHOUT CLIENT KNOWLEDGE. Damage Amount Requested: $63,694.67 Settlement Amount: $20,000.00 Broker Comment: PIPER JAFFRAY CHOSE TO SETTLE A CLIENT COMPLAINT THAT, IN MY OPINION, HAD NO BASIS IN FACT. PIPER'S ACTIONS WERE UNDERTAKEN WITHOUT MY PERMISSION OR APPROVAL. I DO NOT BELIEVE THAT ANY OF MY ACTIONS IN REGARD TO THIS MATTER REPRESENTED ANYTHING LESS THAN PROFESSIONAL EXCELLENCE. AS OF THIS DATE, I STILL HAVE NOT BEEN PROVIDED WITH A COPY OF THIS COMPLAINT DATED 10/27/04. AGAIN, THIS SETTLEMENT IS PURELY A CREATURE OF PIPER JAFFRAY'S CORPORATE DECISION MAKING.
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 RICHARD BAREND PAUL, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.