JOHN J. STAPLETON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/16/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN J. STAPLETON, (CRD No. 2791194) Respondent Disciplinary Proceeding No. E9B2003033501 Hearing Officer - AHP ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 16, 2006 INTRODUCTION Disciplinary Proceeding No. E9B2003033501 was filed on or about August 9, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent John J. Stapleton ("Stapleton") submitted an Offer of Settlement ("Offer") to
08/10/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN J. STAPLETON, (CRD No. 2791194) Respondent. Disciplinary Proceeding No. E9B2003033501 Hearing Officer - COMPLAINT Upon information and belief, Complainant alleges the following: 1. Respondent John J. Stapleton ("Stapleton") became registered with NASD as a Series 7 general securities representative on or about September 12, 1996. 2. From on or about
Reference E9B2003033501data-portal.finra.orgdata-portal.finra.orgfinra.org
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