Last Updated: May 2025 | Denver, CO
Here’s what you need to know about Denver, CO, stockbroker Paul Addo III:
- Name: Mr. Paul K. Addo III
- Current Employer: UBS Financial Services Inc.
- Prior Employer: Merrill Lynch, Pierce, Fenner & Smith Incorporated
- Function: Stockbroker / Financial Advisor
- Primary Location: Denver, CO
- Alias: Kal Addo 3rd, Paul K. Addo, Paul Addo III
- CRD Number: 5422664
- Can Paul Addo be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of: $316,819
If you’ve sustained damages from Mr. Addo, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money with Paul Addo III As Your Stockbroker?
A pending FINRA arbitration case filed by a customer of Merrill Lynch (Case 25-00427) that Paul Addo recommended an unsuitable investment strategy, made misrepresentations, omissions of material facts, and failed to act in the client’s best interest . The claim seeks damages of $316,819.
Additionally, another complaint was filed in September 2023, in which the customer alleged that Mr. Addo failed to follow instructions regarding the purchase of structured market-linked investments between January 2021 and April 2022. This case was closed and it appears that the customer did not pursue the matter further.
Allegations of Broker Misconduct Against Paul Addo III
Customers of Paul Addo III have alleged the following misconduct:
- Unsuitable investment strategy
- Misrepresentation of investment products
- Omission of material facts
- Failure to act in the client’s best interest
- Failure to follow specific customer instructions
These allegations may involve breaches of FINRA Rule 2111 (Suitability) and FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), both of which are core to the obligations of financial advisors.
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of other UBS Financial brokers
See this for our prior investigations of Merrill Lynch brokers.
If you have suffered investment losses in an account handled by Paul Addo III, 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.