PAUL DOUGLAS PARATORE

04/20/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PAUL DOUGLAS PARATORE (CRD No. 2054004), Respondent. Disciplinary Proceeding No. 2005002570601 Hearing Officer-AWH HEARING PANEL DECISION April 20,2007 Registered representative converted customer funds and used them to settle other customers' complaints away from his firm, in violation of Conduct Rule 2110. Respondent barred from association with any member firm in any capacity. Appearances: Jonathan M. Prytherch, Esq., for the

03/07/2008: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Paul Douglas Paratore Webster, NY, Respondent. DECISION Complaint No. 2005002570601 Dated: March 7, 2008 Respondent converted a customer's funds; respondent used converted funds to settle the complaints of four other customers. Held, findings modified, in part, sanctions affirmed. Appearances For the Complainant: Leo F. Orenstein, Esq. and Jonathan M. Prytherch,

10/10/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. PAUL DOUGLAS PARATORE (CRD No. 2054004), RESPONDENT. DISCIPLINARY PROCEEDING No. 2005002570601 COMPLAINT The Department of Enforcement alleges: 1. Respondent Paul Douglas Paratore first became registered with NASD as a Limited Representative-Investment Company and Variable Contracts Products through member firms MetLife Securities Inc. and Metropolitan Life Insurance Company (collectively MetLife) in 1991. 2. On September 13, 2005

Reference 2005002570601data-portal.finra.orgfinra.orgdata-portal.finra.orgdata-portal.finra.org