PAUL JAMES MARSHALL

01/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Paul James Marshall (CRD No. 1889692), Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Paul James Marshall converted funds totaling $25,000 from a firm customer, by accepting two checks for investment and failing to either invest those funds as directed, or return them to the customer, in violation of NASD Conduct Rules 2330 and 2110. Marshall also used an unapproved business

09/12/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Paul James Marshall (CRD No. 1889692), Respondent. DISCIPLINARY PROCEEDING No. 2011029657101 Hearing Officer: RLP ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 12, 2013 INTRODUCTION Disciplinary Proceeding No. 2011029657101 was filed on January 18, 2013, by the

Reference 2011029657101data-portal.finra.orgdata-portal.finra.orgfinra.org

01/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PAUL JAMES MARSHALL (CRD No. 1889692), Respondent. Disciplinary Proceeding No. 2008014285801 Hearing Officer - MC HEARING PANEL DECISION January 25, 2012 For borrowing funds from a customer, in violation of NASD Conduct Rules 2110 and 2370, Respondent Paul James Marshall is suspended for 30 business days, fined $1,000, and ordered to pay restitution in the amount of $25,000 plus

Reference 2008014285801data-portal.finra.orgfinra.org