JOSEPH RICUPERO

05/14/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOSEPH RICUPERO (CRD No. 1457028), Respondent. Disciplinary Proceeding No. 20060049953-01 Hearing Officer- Sara Nelson Bloom Hearing Panel Decision May 14,2008 Respondent is barred for failing to respond to written requests for information and documents, in violation of Rules 8210 and 2110. In light of this

09/10/2010: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 62891 / September 10, 2010 Admin. Proc. File No. 3-13727 In the Matter of the Application of JOSEPH RICUPERO c/o Marni Weiss, Esq. Weiss Imbesi PLLC 462 Seventh Avenue, 12th Floor New York, NY 10018 For Review of Disciplinary Action Taken by Financial Industry Regulatory Authority, Inc. OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION

10/01/2009: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Joseph Ricupero Bayside,NY, Respondent DECISION Complaint No. 2006004995301 Dated: October 1, 2009 Respondent failed to respond to requests for information and failed to file FOCUS Reports, an annual audit report, and an application for approval to transfer customer accounts to another member firm. Held, findings

Reference 2006004995301data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org