RAMNIK S. AULAKH

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/22/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034211302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ramnik S. Aulakh, Respondent General Securities Representative CRD No. 4890774 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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 on the condition
Reference 2012034211302data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4890774

Other names1

Also known as1

RAMNIK SINGH AULAKH

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