LEONARD GIARRAPUTO

LEONARD GIARRAPUTO is currently employed as a Broker and/or Investment Adviser at NATIONAL SECURITIES CORPORATION located at 255 EXECUTIVE DRIVE, SUITE 305, PLAINVIEW, NY, 11803.

LEONARD GIARRAPUTO has worked at NATIONAL SECURITIES CORPORATION since June 29, 2015

Disclosure History

LEONARD GIARRAPUTO has 1 Disclosure Event(s).

Date: March 02, 2004
Category: Regulatory
Initiated By: NASD
Allegations: NASD RULES 2110, 2510(B) - RESPONDENT EFFECTED SECURITIES TRANSACTIONS IN HIS WIFE'S HEDGE FUND SUBACCOUNT AT HIS MEMBER FIRM WITHOUT PRIOR WRITTEN CONSENT FROM HIS WIFE TO EFFECT SECURITIES TRANSACTIONS IN THE ACCOUNT AND RESPONDENT FAILED TO REQUEST OR RECEIVE WRITTEN ACCEPTANCE BY HIS MEMBER FIRM OF HIS DISCRETIONARY AUTHORITY OVER HIS WIFE'S ACCOUNT AT ANY TIME.
Resolution: Acceptance, Waiver & Consent(AWC) SanctionDetails:
Sanctions: Monetary/Fine SanctionDetails:
Amount: $5,000.00 Sanction Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, GIARRAPUTI CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS, THEREFORE, HE IS FINED $5,000.
Broker Comment: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, GIARRAPUTO CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, HE IS FINED $5,000.

More Information

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