Last Updated: May 2024 (Covington, LA)
Paul Snow Investigation Summary
Here’s what you need to know about Covington, LA, stockbroker Paul Snow :
- Name: Mr. Paul Dudlow Snow IV
- Current Employer: NewEdge Advisors (RIA), not currently registered with FINRA
- DBA: Snow Financial Group
- Previous Firms: Raymond James Financial Services
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Paul Snow
- Primary Location: Covington, LA
- CRD 2963153
- Can Paul Snow be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Employment Separation after Allegations: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Allegations of Broker Misconduct Against Paul Snow
- In 4/2024 Paul Snow voluntarily resigned from Raymond James where he had been employed since 4/2002. Raymond James makes the following allegation on Snow’s FINRA record: “Individual alleged to have engaged in conduct inconsistent with firm client standard of care policy.”
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
[LEARN MORE]: Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
[LEARN MORE]: FINRA Rule 2111- suitability -Regulation Best Interest
Recover Your Investment Losses Now With Rex Securities Law
[LEARN MORE]: Other investigations Involving Raymond James Brokers
If you have questions about an account handled by Paul Snow, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.