DID PAUL RAYMOND NATHE CAUSE YOU INVESTMENT LOSSES?
Paul Nathe Of Oppenheimer & Co. Inc. Has 2 Customer Complaints For Alleged Broker Misconduct
About Paul Nathe of Oppenheimer & Co. Inc.?
Paul Nathe (CRD #2015831) is an experienced financial professional currently registered with Oppenheimer & Co. Inc. as a broker and investment advisor since June 5, 2007. Over his extensive career, Nathe has worked with three firms, including his current position at Oppenheimer, as well as previous roles at Citigroup Global Markets Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Nathe has passed four key industry exams, including the General Securities Representative Examination (Series 7) and two multi-state securities law exams (Series 63 and Series 65). He holds registrations with nine Self-Regulatory Organizations (SROs) and is licensed in 19 U.S. states and territories.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Paul Nathe Customer Complaints and Reviews
Paul Raymond Nathe has two customer disputes disclosed in his BrokerCheck record:
- Customer Dispute (Closed with No Action)
- Incident: In March 2001, a customer alleged that Nathe failed to follow instructions to liquidate investments. No specific damage was alleged, and the complaint was closed without action on September 26, 2006. Merrill Lynch denied the allegations.
- Customer Dispute (Pending)
- Incident: In June 2024, a customer alleged that Nathe sold his stock portfolio without authorization, with claimed damages amounting to $409,002. The dispute has evolved into arbitration, with Nathe denying any wrongdoing and asserting his intention to vigorously defend against the allegations.
Allegations Against Paul Nathe
- Customer Dispute Allegation (2001): The customer alleged that Nathe failed to follow their instructions to liquidate certain investments. No damage was specified, and the case was eventually closed with no action taken.
- Customer Dispute Allegation (2024): The client claims that Nathe sold their stock portfolio without proper authorization, resulting in significant financial loss. The matter is currently in arbitration, with the customer seeking $409,002 in damages. Nathe has denied the allegations and is actively defending himself in the ongoing proceedings.
Paul Nathe Red Flags & Your Rights As An Investor
Of course, Paul Nathe did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Paul Nathe at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Paul Nathe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Oppenheimer & Co. Inc. Due To Paul Nathe
If you have questions about Oppenheimer & Co. Inc. and/or Paul Nathe and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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