PAUL LEON WHITE II
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/14/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, PAUL LEON WHITE, II (CRD No. 4669396), Respondent. DISCIPLINARY PROCEEDING No. 2009017798201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Paul Leon White, II made unsuitable sales of securities to a non-profit animal shelter. The shelter was seeking safe, short-term, liquid securities for the investment of funds including a $350,000 bequest intended for the construction of a new animal
09/19/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PAUL LEON WHITE, II (CRD No. 4669396), Respondent. Disciplinary Proceeding No. 20090177982-01 Hearing Officer - RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 19, 2011 INTRODUCTION Disciplinary Proceeding No. 20090177982-01 was filed on September 14, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Paul Leon White,
Reference 2009017798201data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4669396 |
Other names1
Also known as1
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