Joseph Frank Pappalardo, Jr. (CRD #4188704, Registered Representative, Staten Island, New York) submitted a Letter of Acceptance, Waiver, and Consent in which he was barred from association with any NASD member in any capacity. Without admitting or denying the allegations, Pappalardo consented to the described sanction and to the entry of findings that he effected private securities transactions and failed to provide prior written notification to his member firm. The findings also stated that Pappalardo failed to respond to NASD requests to appear for an on-the record interview. (NASD Case #C10040188)

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