DAVID PAUL RUPP is currently employed as a Broker and/or Investment Adviser at NYLIFE SECURITIES LLC located at 188 W Northern Lights Blvd, Suite 1300, Anchorage, AK, 99503.
DAVID PAUL RUPP has worked at NYLIFE SECURITIES LLC since March 21, 2005
Disclosure History
DAVID PAUL RUPP has 2 Disclosure Event(s).
Date: November 21, 2011 Category: Regulatory Initiated By: STATE OF WASHINGTON OFFICE OF INSURANCE COMMISSIONER Allegations: IN CONNECTION WITH AN APPLICATION FOR A NON-RESIDENT INSURANCE PRODUCER'S LICENSE, THE WA OIC ENTERED A CONSENT ORDER AND ISSUED MR. RUPP'S PRODUCER'S LICENSE ON A PROBATIONARY BASIS FOR THE FIRST LICENSING PERIOD UNDER RCW 48.17.530 (H). THE OIC ORDER WAS BASED ON THE FACT THAT MR. RUPP HAD PRIOR DISCLOSURES. Resolution: Order Sanctions: FOR THE PERIOD OF MR. RUPP'S FIRST LICENSURE, IF ANY ADMINISTRATIVE ACTION IS TAKEN AGAINST ANY LICENSE MR. RUPP HOLDS WITH ANY STATE OR GOVERNMENTAL AGENCY, OR IF MR. RUPP IS CONVICTED OF ANY' CRIMINAL VIOLATION OTHER THAN MISDEMEANOR TRAFFIC VIOLATIONS, THIS PROBATIONARY WASHINGTON NON-RESIDENT LICENSE WILL BE REVOKED. HE WILL BE ELIGIBLE TO OBTAIN A FULL, NON-PROBATIONARY LICENSE UPON HIS FIRST RENEWAL IF HE MEETS ALL THE CONDITIONS OF THISPROBATIONARY LICENSE.
Date: March 02, 2011 Category: Regulatory Initiated By: ALASKA DIVISION OF INSURANCE Allegations: THE DIVISION OF INSURANCE ENTERED A STIPULATED AGREEMENT AND ORDER TO RESOLVE ALLEGATIONS THAT MR. RUPP TRANSACTED INSURANCE BUSINESS BETWEEN JANUARY 8, 2010 AND MARCH 4, 2010 WHILE HE WAS NOT APPROPRIATELY LICENSED DUE TO A FAILURE TO TIMELY RENEW HIS PRODUCER LICENSE. Resolution: Stipulation and Consent SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $1,402.00
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