ROGER ANGELO KAPSALIS
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/11/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C10050018 TO: Department of Enforcement NASD RE: Roger Angelo Kapsalis, Respondent CRD No. 2159293 Pursuant to Rule 9216 of NASD Code of Procedure, I, Roger Angelo Kapsalis, Respondent, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that,
Reference C10050018finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/01/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. ROGER A. KAPSALIS (CRD No. 2159293), Respondent. Disciplinary Proceeding No. 20060053714-01 Hearing Officer - SNB DEFAULT DECISION December 1, 2006 Respondent failed to respond to requests for information, in violation of Rules 8210 and 2110, and engaged in a private securities transaction, in violation Rules 3040 and 2110. For these violations, Respondent is barred from associating with any NASD member in any capacity. Appearances
Reference 2006005371401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2159293 |
Other names1
Also known as1
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