Oswald Victor Paredes (CRD # 4271043, Registered Representative, Belmont, Massachusetts) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Paredes consented to the described sanction and to the entry of findings that he linked his 529 college savings plan accounts to an individual’s bank account, transferred $3,900 from the individual’s bank account to the plan accounts, without the bank account holder’s authorization or consent, and misappropriated the funds for his personal use. (FINRA Case # 2009018461601)

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