Category Archives: Bolton Global Capital

Paul W. Smith-Former Bolton Global Capital Broker Investigated Over Haverford Investment-Wayne, PA

September 2017 -Wayne, PA

According to publicly available records Paul W. Smith (CRD#1070735) , a  former stockbroker who was last registered with Bolton Global Capital , disclose  a final regulatory event , 7 pending customer disputes, 4 prior customer disputes and a termination from employment.

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.

In June 2017 FINRA permanently barred Paul W. Smith from the securities industry for failing to provided documents and information requested by FINRA related to the sale of private securities. Smith consented to the sanction without admitting or denying the FINRA findings.

The pending customer disputes and arbitrations relate to investments in the Haverford Group and an Investment Club. Damages sought in the pending cases exceed $500,000.

Smith was employed by Bolton Global Capital 5/2007-2/2017. He was discharged by Bolton Global Capital 2/2017 who made the followng allegation on his official FINRA record: “SEC notified Bolton Global Capital that Mr. Smith had engaged in a private securities transaction without first notifying the firm.”

If you have questions about an investment you made with Paul W. Smith,  contact us to discuss your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales

June 9, 2015

Bolton Global Capital ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from at least May 2011 through May 2012, they failed to provide prospectuses to customers who purchased exchange traded funds (ETFs) as required by securities laws.

Bolton Global Capital  was censured and  fined $35,000 .

Disciplinary Proceeding NO. 2012030523201

Bolton Global Capital is based in Bolton, MA, and has 115 representatives in 53 branch offices.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870