Paul Edwards

(CRD #5967107, Palm Bay Florida)

December 9, 2024 – An AWC was issued in which Paul Edwards was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the findings, Edwards consented to the sanctions and to the entry of findings that he forged the signatures of two customers on an insurance application by electronically signing the customers’ names without authorization. The findings stated that upon learning of the forgery, one of the customers complained to Edwards’ member firm. Edwards never submitted the form to the insurance company or his firm. In addition, Edwards falsified seven documents by altering them after they were signed by six different customers. Edwards requested that customers sign blank forms that he then completed after they had been signed and submitted them to the firm. Five of the altered documents, including automatic investment authorization forms, one time distribution request forms, and an asset movement authorization form, were required books and records of the firm. None of the customers who signed blank forms complained, and the underlying transactions were authorized. The suspension was in effect from December 16, 2024, through February 15, 2025. (FINRA Case #2022076567401) If you have suffered losses as a result of Paul Edwards' act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Paul Edwards. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-618-0545 or email Matthew Schwartz directly at mschwartz@tslfirm.com.