US Edition2022075493601 Thomas A. Rapp CRD 6367780 AWC gg.pdf
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2022075493601 Thomas A. Rapp CRD 6367780 AWC gg.pdf
Between June 2021 and July 2023, while associated with M Holdings, Rapp engaged in an outside business activity involving a private equity fund he co-founded, and for which he served as chief executive officer and managing partner, without providing prior written notice to his firm, in violation of FINRA Rules 3270 and 2010. During the same period, Rapp participated in a private securities offering for the fund without providing prior written no…
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