Nex Systems
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James Michael Rapisarda

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/28/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061034501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Michael Rapisarda, Respondent Former General Securities Representative and General Securities Principal CRD No. 1851883 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent James Michael Rapisarda submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019061034501data-portal.finra.orgfinra.org

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