PAUL ELLSWORTH MCINTOSH

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PAUL ELLSWORTH MCINTOSH, (CRD No. 5458088) Respondent. Disciplinary Proceeding No. 2010021448201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Paul Ellsworth Mcintosh (Mcintosh) executed 176 unauthorized transactions in three customer accounts, in violation of FINRA Rule 2010 and NASD IM-2310-2. In addition, McIntosh converted customer funds for his own use and benefit, in
06/06/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PAUL ELLSWORTH McINTOSH (CRD No. 5458088), Respondent. Disciplinary Proceeding No. 2010021448201 Hearing Officer-LOM DEFAULT DECISION June 6, 2012 Respondent is barred from associating with any FINRA member in any capacity for unauthorized trading in violation of FINRA Rule 2010 and NASD IM-2310-2, and is separately barred for conversion of customer funds in violation of NASD Rule 2330(a) and FINRA
Reference 2010021448201data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5458088

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