NATVERLAL M PATEL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/05/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010025751701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Natverlal Patel, Respondent General Securities Representative CRD No. 2003236 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Natverlal Patel, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted
Reference 2010025751701finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2003236

Other names1

Also known as1

NATVERLAL PATEL

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