NIYUKT R. BHASIN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NSM SECURITIES, INC. (CRD No. 134357), NIYUKT R. BHASIN (CRD No. 2282048), NAVEEN K. BHAGWANI (CRD No. 5423037), and SHONDEEP S. BALCHANDANI (CRD No. 5165930), Respondents. DISCIPLINARY PROCEEDING No. 2011027667402 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From March 2007 through September 2012 (the "relevant period"), NSM Securities, Inc., acting through and at the direction of
09/26/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NSM SECURITIES, INC. (CRD No. 134357), NIYUKT R. BHASIN (CRD No. 2282048), AND NAVEEN K. BHAGWANI (CRD No. 5423037), Respondents. Disciplinary Proceeding No. 2011027667402 Hearing Officer - DRS ORDER ACCEPTING OFFER OF SETTLEMENT FROM NSM SECURITIES, INC. AND NIYUKT R. BHASIN Date: September 26, 2014 INTRODUCTION Disciplinary Proceeding No. 2011027667402 was filed on February 28, 2014, by the
Reference 2011027667402data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2282048

Other names1

Also known as1

NIYUKT RAGHU BHASIN

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