James Adam Paquette
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/01/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v.. JAMES PAQUETTE (CRD No. 2164109), Respondent. Disciplinary Proceeding No. 2017054889201 Hearing Officer-RES DEFAULT DECISION August 1, 2019 For failure to timely update his Uniform Application for Securities Industry Registration to disclose a felony charge, Respondent is barred from associating with any FINRA member in any capacity.
02/06/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES PAQUETTE (CRD No. 2164109), Respondent. Disciplinary Proceeding No. 2017054889201 COMPLAINT Department of Enforcement alleges as follows: SUMMARY 1. James Paquette was charged with a felony in May 2016 but willfully failed to disclose the charge on his Uniform Application for Securities Industry Registration
Reference 2017054889201data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2164109 |
Other names1
Also known as1
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