PAUL ROLES
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/01/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PAUL ROLES (CRD No. 2847856), Respondent. Disciplinary Proceeding No. 2005002151001 Hearing Officer-Andrew H. Perkins DEFAULT DECISION July 1, 2008 Respondent is barred from associating with any member firm in any capacity for (1) falsifying account documents, in violation of NASD Conduct Rules 3110 and 2110; (2) making unsuitable recommendations, in violation of Conduct Rules 2310 and 2110; and (3)
02/25/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT COMPLAINANT, V. PAUL ROLES (CRD NO. 2847856), RESPONDENT. DISCIPLINARY PROCEEDING NO. 2005002151001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From late 2001 to mid 2005, Paul Roles ("Respondent" or "Roles") serviced the brokerage account of customer GS at six different FINRA (formerly NASD) member firms. 2. During this time, Roles cultivated the trust and friendship of GS, an elderly Holocaust
Reference 2005002151001data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2847856 |
Other names1
Also known as1
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