Broker Investigation: Kevin Graetz

Kevin Graetz (CRD#: 1935982) is a previously registered securities broker. Mr. Graetz was most recently associated with Paulson Investment Company in New York City. This is a brokerage firm where he worked from 2013 to 2017. Mr. Graetz has also been employed at Roth Capital Partners (2013), Advanced Equities (2017-2012), and Oppenheimer & CO (2005-2007).

In April of 2017, Paulson Investment Company terminated Mr. Graetz after an investor filed a complaint alleging negligence and fraud. As of February of 2018, the Financial Industry Regulatory Authority (FINRA) has barred Kevin Graetz from acting as a broker or associating with a broker-dealer. Here, our investment fraud lawyers review the FINRA disclosures involving this former securities broker.

Investor Complaints: Kevin Graetz

Mr. Graetz was discharged from his position at Paulson Investment Company after an investor filed a complaint alleging fraud, negligence, material misrepresentations, and unjust enrichment. This investor is seeking $1,000,000 in financial compensation, and the complaint is still listed as pending by FINRA. When the agency opened up its own investigation into the allegations against Mr. Graetz, he declined to provide the requested documents and records. As a result, the Department of Enforcement has indefinitely barred this broker from the securities industry.

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