Suspended: Paul Anthony Falcon Suspended by FINRA

Suspended

Paul Anthony Falcon Suspended by FINRA

An AWC was issued in which Falcon was fined $5,000 and suspended from association with any FINRA member in all capacities for 30 days. Without admitting or denying the findings, Falcon consented to the sanctions and to the entry of findings that he used an unapproved third-party communication application to conduct securities-related business with customers of his member firm.

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