PAUL DAVID ARNOLD

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/17/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Paul David Arnold (CRD No. 2278472), Respondent. DISCIPLINARY PROCEEDING No. 2011029210401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period of May 2010 to April 2011 (the "Relevant Period"), while registered with Raymond James & Associates, Inc. (the "Firm"), Paul David Arnold ("Arnold" or "Respondent")
08/29/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. PAUL DAVID ARNOLD (CRD No. 2278472), Respondent. Disciplinary Proceeding No. 2011029210401 Hearing Officer - Sara Nelson Bloom DEFAULT DECISION, August 29,2013 Respondent is barred from associating with any FINRA registered firm in any capacity for misappropriating customer funds, in violation of FINRA Rules 2150(a) and 2010; and failing to appear for testimony, in violation of FINRA
Reference 2011029210401data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2278472

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.