Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 2, 2018 indicate that former New Jersey-based Ameriprise Financial Services broker/adviser Paul Gordon is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gordon (CRD# 1027219).
Paul Gordon has spent 36 years in the securities industry and has been registered with Ameriprise Financial Services in Saddle Brook, New Jersey since 2016. Previous registrations include RBC Capital Markets in Paramus, New Jersey (2009-2016) and JB Hanauer & Company in Parsippany, New Jersey (1982-2009). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 3, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 9, 1982; Series 7 (General Securities Representative Examination), which he obtained on January 16, 1982; Series 53 (Municipal Securities Principal Examination), which he obtained on June 7, 1985; and Series 24 (General Securities Principal Examination), which he obtained on February 1, 1985. He is a registered broker and investment adviser with 17 US states and territories: California, Connecticut, Delaware, Florida, Georgia, Iowa, Maryland, Massachusetts, Missouri, Nevada, New Jersey, New York, Ohio, Oregon, Pennsylvania, Vermont, and Virginia.
According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.
In 2017 a customer alleged Paul Gordon, while employed at RBC Capital Markets, recommended unsuitably risky municipal bonds in the period of 2010 through 2014. The customer is seeking $225,000 in damages in the pending complaint.
In 2002 a customer alleged Paul Gordon, while employed at JB Hanauer & Company, converted funds, breached his fiduciary duty, breached contract, committed common law and consumer fraud, violated state and federal securities law as well as industry rules, and acted negligently. The complaint settled in 2004 for more than $40,900
In 2000 a customer alleged Paul Gordon, while employed at JB Hanauer & Company, misrepresented and recommended an unsuitable corporate bond that later defaulted. The complaint settled for $13,500.
If you have lost money investing with Paul Gordon, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.