Paula Harold, formerly of PFS Investments, Suspended 18 Months from Securities Industry
Have you lost money with financial advisor Paula Harold of Ontario, California? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Paula Louise Harold. FINRA suspended Harold from the securities industry for 18 months and fined $5,000 regarding allegations that she forged customer signatures on account documents to open an annuity on a client’s behalf without the client’s permission. Harold also allegedly made her husband the beneficiary of this annuity and listed her own address as the client’s.
Paula Harold was a financial advisor and registered representative of PFS Investments from September 2011 to July 2016 and again from October 2016 to November 2016. She worked at a branch office in Ontario, California.
Brokerage firms like PFS Investments 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 the Seattle, Washington area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout southern California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including PFS Investments.
Click to view: Harold, Paula FINRA AWC
Click to view: Harold, Paula BrokerCheck 11.29.17
If you lost money with Paula Harold or PFS Investments, 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.