FRANK VINCENT SAPARETO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/09/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FRANK V. SAPARETO (CRD No. 2274877), Respondent. Disciplinary Proceeding No. 2018060379701 Hearing Officer-MJD DEFAULT DECISION August 9, 2021 Respondent is barred from associating with any FINRA member firm in any capacity for providing false or misleading testimony and written information during a FINRA investigation and for engaging in an undisclosed outside business activity.
03/31/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Frank V. Sapareto (CRD No. 2274877), Respondent. Disciplinary Proceeding No. 2018060379701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between April 2018 and June 2018, while registered through Advisory Group Equity Services Ltd. (AGES), Respondent Frank V. Sapareto engaged in an outside business activity without providing prior written notice to AGES. Specifically, Sapareto created Standard Video LLC,
Reference 2018060379701data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2274877 |
Other names1
Also known as1
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