WILLIAM SCOTT PALADINI
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. William Scott Paladini, CRD No. 4561071, Respondent. Disciplinary Proceeding No.20100225470 Hearing Officer Andrew H. Perkins ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 25, 2012 INTRODUCTION Disciplinary Proceeding No. 20100225470 was filed on March 27, 2012, by the Department of Market Regulation of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent William Scott
03/27/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. William Scott Paladini (CRD 4561071), Respondent. Disciplinary Proceeding No. 20100225470 COMPLAINT The Department of Market Regulation alleges: Summary 1. On or about March 17, 2010, respondent William Scott Paladini, an analyst at a FINRA member firm, in contravention of his firm's policies, purchased shares of Delta Petroleum Corp. (NasdaqCM: DPTR) ("Delta Petroleum") while in possession of
Reference 2010022547001data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4561071 |
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