The following summation was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2013.” Paul David Arnold (CRD #2278472, Registered Principal, Clearwater, Florida) was barred from association with any FINRA member in any capacity. Arnold did not pay restitution because the customer sought and obtained treble damages ('treble' is a term that indicates […]

The following summation was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2013.” Paul David Arnold (CRD #2278472, Registered Principal, Clearwater, Florida) was barred from association with any FINRA member in any capacity. Arnold did not pay restitution because the customer sought and obtained treble damages ('treble' is a term that indicates […]

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 […]