Joseph Pappalardo – Financial Advisor Joseph Pappalardo Barred from the Securities Industry

Joseph Pappalardo – Financial Advisor Joseph Pappalardo Barred from the Securities Industry | Goodman & Nekvasil P.A, May Recover Investor Losses 

Joseph Pappalardo CRD #2088747

From 2008 until Joseph Pappalardo’s fired in 2012, Joseph Pappalardo was licensed with Financial Network Investment Corporation. According to FINRA’s records, Joseph Pappalardo was fired by Financial Network Investment Corporation on August 15, 2012. Financial Network Investment Corporation reported to FINRA that Joseph Pappalardo was fired for violation of firm policy regarding private securities transactions and borrowing from firm or non-firm clients, both without prior approval of the firm.

Subsequent to Joseph Pappalardo’s firing, FINRA brought a disciplinary action against Joseph Pappalardo on September 26, 2014 in which Joseph Pappalardo consented to a bar. FINRA reports that Joseph Pappalardo consented to the entry of findings that Joseph Pappalardo intentionally made material misrepresentation and omissions to a customer in order to convince the customer to invest $100,000 in a fictitious company. According to FINRA, Joseph Pappalardo converted the cusomer’s funds to his own uses.

Additionally, FINRA reports that Joseph Pappalardo repeatedly failed to disclose five other outside business activities to his firm. Joseph Pappalardo falsely described his participation in these outside business activities and private securities transactions on his firm’s annual compliance questionnaires and falsely stated on a pre-registration questionnaire that his real estate company was no longer in business.

If you lost any money on investments with Joseph Pappalardo, you may be able to recover your losses from Financial Network Investment Corporation. This is because Financial Network Investment Corporation had a duty to supervise Joseph Pappalardo.

If you lost money on investments in investments with Joseph Pappalardo and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Financial Network Investment Corporation concerning Joseph Pappalardo’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $170 million on behalf of victimized investors. If you lost money on any investments with Joseph Pappalardo and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.   


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