Narinder Kaur Singh
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/28/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063861501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Narinder Kaur Singh, Respondent Former Registered Representative CRD No. 3100308 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent, Narinder Kaur Singh (“Singh”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019063861501data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3100308 |
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