Paul Soll, formerly with Financial West Group, Barred from Securities Industry

Have you lost money with financial advisor Paul Soll of Los Angeles, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Paul Edward Soll. FINRA barred Soll from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Soll regarding allegations of potential trading abuses in an elderly customer’s account.

Paul Soll was a financial advisor and registered representative of Financial West Group from June 2012 to August 2017.  He also worked with Western International Securities from August 2017 to June 2018.  He worked at a branch office in Los Angeles, California.

Brokerage firms like Financial West Group have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout California and the Los Angeles area.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view:  Soll, Paul BrokerCheck 7.16.18

Click to view:  Soll, Paul FINRA AWC

If you lost money with Paul Soll or Financial West Group, please CONTACT US at 720-599-3505 for a free evaluation of your case.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.