Mark Elliot Paverman

(CRD #1046105, Boca Raton, Florida)

January 28, 2026 – An Order Accepting Offer of Settlement was issued in which Paverman was fined $20,000, suspended from association with any FINRA member in any principal capacity for 12 months, and required to requalify by examination as a General Securities Principal before again acting in that capacity. Without admitting or denying the allegations, Paverman consented to the sanctions and to the entry of findings that he caused his member firm to fail to maintain books and records. The findings stated that the firm, acting through Paverman, failed to preserve electronic communications of three of its registered representatives; failed to preserve instant messages of any of its registered representatives; and failed to preserve electronic communications of affiliated personnel at the firm’s corporate parent who performed brokerage functions. The findings also stated that Paverman made a false certification to FINRA stating that his firm directly contracted with a vendor for record retention and that the firm had independent access to the records maintained by the vendor. In fact, the contract was between the vendor and the firm’s corporate parent. The firm also did not have independent access, so Paverman was unable to provide FINRA with requested information. The suspension is in effect from February 17, 2026, through February 16, 2027. (FINRA Case #2023080111701) If you have suffered losses as a result of Mark Elliot Paverman's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Mark Elliot Paverman. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-330-6707 or email Matthew Schwartz directly at mschwartz@tslfirm.com.