Last Updated: June 2025 – Boca Raton, FL
Here’s what you need to know about Boca Raton, FL, former stockbroker Paul Battson:
- Name: Paul Hunter Battson
- CRD Number: 4256820
- Current Status: Not currently registered with any FINRA-member firm
- Prior Employers: Newbridge Securities Corporation, Stoever Glass & Company Inc., Northwestern Mutual Investment Services, LLC
- Function: Stockbroker / Financial Advisor
- Primary Location: Boca Raton, FL
- Can Paul Battson be sued in FINRA arbitration? Yes
- Sanctioned by FINRA? No
- Highest Settlement or Award: $72,500
If you’ve sustained damages from Mr. Battson, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Paul Battson As Your Stockbroker?
Paul Battson has been the subject of two FINRA arbitration claims involving customer allegations related to alternative investments and other securities.
A customer of Newbridge Securities Corporation alleged breach of contract, breach of fiduciary duty, negligence, fraud, and failure to supervise concerning investments in alternative products. The case was settled for $72,500 on September 3, 2024.
Another dispute with a Newbridge Securities customer was settled for $37,500. In that case the customer alleged misrepresentation, breach of fiduciary duty, unsuitability, and negligence in connection with investments in corporate debt, equities, and ETFs.
These allegations raise concerns regarding compliance with FINRA’s Suitability Rule (FINRA Rule 2111), which requires brokers to recommend investments that are in line with the client’s investment profile, and FINRA Rule 2010, which mandates adherence to high standards of commercial honor.
Allegations of Broker Misconduct Against Paul Battson
Customers of Paul Battson have made the following allegations of wrongdoing:
- Misrepresentation of investment products
- Unsuitable investment recommendations
- Breach of fiduciary duty
- Negligence and failure to supervise
- Customer losses related to alternative investments and ETFs
See this for more information on REITs and Other Alternative Investments
Recover Your Investment Losses Now With Rex Securities Law
Investigations of other Newbridge Securities brokers
If you have suffered investment losses in an account handled by Paul Hunter Battson, 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.