SHAWN P. SAPP

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/05/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035518201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Shawn P. Sapp, Respondent Former General Securities Representative CRD No. 4913087 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2013035518201finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4913087

Other names1

Also known as1

SHAWN PAUL SAPP

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