NAVEEN Anuj PAUL at PNC CAPITAL MARKETS LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 7151550
NAVEEN Anuj PAUL is an Investment Adviser, associated with PNC CAPITAL MARKETS LLC located at PHILADELPHIA, PA. NAVEEN PAUL’s Central Registration Depository (CRD) number is 7151550 and the FINRA Profile can be found at –

Disclosure #1 for NAVEEN PAUL

    • Event Date: 4/27/2018
    • Disclosure Type: Criminal
    • Disclosure Resolution: Final Disposition
    • Disclosure Detail :: Criminal Charges :: Charges: Possess a fictitious identification card
    • Disposition: Deferred Adjudication
    • Amended Charges: dismissed charge
    • Amended Charge Type: OTHER
    • Amended Charge Disposition: Dismissed Charges: attempt to enter an establishment where alcohol beverages are sold with a fraudulent ID card
    • Disposition: Deferred Adjudication
    • Amended Charges: dismissed charge
    • Amended Charge Type: OTHER
    • Amended Charge Disposition: Dismissed
    • Broker Comment: I tried to enter a bar at my school in Chapel Hill possessing a fake identification and hence received two charges. My case was dismissed on 2/12/2019, and I filed for expungement of my record that week. However, it now takes an average of 6 months to process the expungement in North Carolina, so the charge may still show up in systems. My lawyer also advised me to just click the 14A(1)b as I only admitted guilt in the DPA rather than pleading guilt and a DPA is legally different than a no contest. After completing the DPA, the charges were dismissed.

Should I file a FINRA complaint against brokers like NAVEEN Anuj PAUL?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by NAVEEN Anuj PAUL’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today! helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.

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Visit to read a detailed report for PNC CAPITAL MARKETS LLC

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Yes. There are disclosures, allegations, or complaints filed against NAVEEN Anuj PAUL. Click here to view all details

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