PAUL E. TABOADA

03/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PAUL E. TABOADA (CRD No. 2033981), Respondent. Disciplinary Proceeding No. 2012034719701 Hearing Officer-MAD EXTENDED HEARING PANEL DECISION March 18, 2016 Respondent Paul E. Taboada violated (1) FINRA Rule 2010 by misappropriating investor funds and securities; (2) FINRA Rules 2150 and 2010 by misusing customer funds and securities; (3) FlNRA Rule 2010 by providing false and misleading

05/06/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. PAUL E. TABOADA, CRD No. 2033981, RESPONDENT. DISCIPLINARY PROCEEDING No. 2012034719701 COMPLAINT The Department of Enforcement alleges: INTRODUCTION 1. Respondent Paul E. Taboada ("Taboada") misappropriated funds from certain investors in CMS FB LLC (''CMS FB" or the "Company"), a special purpose entity he created to acquire pre-initial public offering shares

07/24/2017: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Paul E. Taboada Old Brookville, NY, Respondent. DECISION Complaint No. 2012034719701 Dated: July 24, 2017 Respondent misappropriated investor funds and securities, misused customer funds and securities, provided false and misleading information and failed to disclose information to investors, and provided false and misleading documents

Reference 2012034719701data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org