Surage Kamal Roshan Perera
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/06/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078427601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Surage Kamal Roshan Perera (Respondent) Former General Securities Principal, Former General Securities Representative CRD No. 4716321 Pursuant to FINRA Rule 9216, Respondent Surage Kamal Roshan Perera submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2023078427601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4716321 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.