Israels & Neuman, PLC Investigates Joseph Hain, Formerly of Paulson Investment Company
Have you lost money with financial advisor Joseph M. Hain (CRD# 4959092), of Paulson Investment Company, in New York, New York? We are investigating allegations of former customers related to Joseph Hain. Hain’s BrokerCheck report, a public record maintained by FINRA, states that he has been the subject of two customer complaints, involving the sales of a private placement.
Joseph Hain was a registered representative of Paulson Investment Company from March 2016 to March 2017. He was also affiliated with Noble Capital Markets from March 2017 to the present and with Aegis Capital from May 2013 to March 2016. He has worked in offices in New York, New York.
Brokerage firms like Paulson Investment Company have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Paulson Investment Company.