Tag Archives: James Michael Rapisarda

FINRA Sanctions LPL Stockbroker For Selling Away

September 14, 2020  |   Posted by :   |   Selling Away and Outside Activities   |   Comments Off on FINRA Sanctions LPL Stockbroker For Selling Away

James Michael Rapisarda of Scottsdale Arizona a stockbroker formerly registered with LPL Financial LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that Rapisarda engaged in prohibited securities transactions during the period in which he was associated with LPL Financial. Letter […]

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