The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.”
FINRA issued the following complaint. Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as to any of the allegations contained in the complaint. Because these complaints are unadjudicated, you may wish to contact the respondents before drawing any conclusions regarding the allegations in the complaint.
Paul David Arnold (CRD #2278472, Registered Principal, Clearwater, Florida)
was named a respondent in a FINRA complaint alleging that he misappropriated and misused funds totaling $173,600 from an elderly customer, by having the customer sign blank checks that Arnold later made payable to his wife or son without the customer’s authorization. The customer thought the blank checks that Arnold had him sign were being used to pay the customer’s bills; many of them were not. The complaint alleges that Arnold failed to appear and provide testimony in connection with a FINRA investigation.
(FINRA Case #2011029210401)
As listed on FINRA's BrokerCheck Paul Arnold was previously registered with FINRA at the following brokerage firms:
RAYMOND JAMES & ASSOCIATES, INC.
CRD# 705
LARGO, FL
09/1995 - 09/2011
SMITH BARNEY INC.
CRD# 7059
NEW YORK, NY
10/1992 - 10/1995
This ends the information obtained from FINRA's website.
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