JOSEPH PAPPALARDO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/26/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034045401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Joseph Pappalardo, Respondend Registered Representative CRD No. 2088747 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Joseph Pappalardo submits this letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below
Reference 2012034045401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2088747

Other names1

Also known as1

JOSEPH THOMAS PAPPALARDO

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.