The Rosca Scarlato LLC law firm attorneys are investigating the circumstances related to the alleged resignation of Pennsylvania broker Paul Maynor (aka Paul Randall Maynor) from Ameriprise, according to a disclosure reported on his FINRA Brokercheck page, under review by attorney Alan Rosca.
Maynor allegedly resigned from Ameriprise Financial in March 2021 while under investigation for compliance policy violation related to heightened supervision and selling away.
Investors who are concerned about their investments with broker Paul Maynor may contact the Rosca Scarlato investor rights attorney Alan Rosca or his colleagues for a free case evaluation and discussion of potential options, or to provide any useful information. Interested investors may call 888-998-0530, send an email at arosca@rscounsel.law, or leave a message through the contact form on this webpage.
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Paul Randall Maynor Involved in A Settled a Customer Dispute in 2006
According to Maynor’s FINRA Brokercheck page, a customer filed a dispute in August 2005 alleging he was manipulated and deceived in connection to the sale of two variable annuities purchased in September 2004. The customer further alleged their money was placed in the annuities without their knowledge or explanation of the annuities first. The customer requested $28,025.70 for the alleged damages and received a settlement to the tune of $20,400 in September 2006.
Paul Maynor Joined the Securities Industry in 1996
Maynor was a registered broker with FINRA for 23 years and switched employers nine times according to his FINRA Brokercheck page. Maynor was registered with Ameriprise Financial located in Plymouth Meeting, PA from March 2014 until March 2021. As stated previously, he allegedly resigned from the firm while under investigation for violating compliance policy.
Currently, Paul Maynor is registered as an investment adviser with Onyx Bridge Wealth Group, located in Kenneth Square, Pennsylvania, and Dover, Delaware. Maynor has been registered with the firm since mid-March 2021, according to his IAPD Report.
Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.
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Investor Rights Attorneys Are Investigating
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating circumstances related to broker Paul Maynor’s alleged resignation from Ameriprise Financial.
The firm takes most cases of this type on a contingency fee basis and advances the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Investors who are concerned about their investments with broker Paul Maynor may contact attorney Alan Rosca for a free case evaluation, toll free at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.