RAM KAPARA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/25/2005: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Ram Kapara Brooklyn, NY, Respondent. DECISION Complaint No. C10030110 Dated: May 25, 2005 Registered representative engaged in private securities transactions without giving his firm prior written notice; falsified a document; misrepresented material facts to two customers; and failed to respond to staff requests for information.
Reference C10030110data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2589146

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