KAPIL SHASHIKANT SHAH

04/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KAPIL SHASHIKANT SHAH (CRD No. 4409290), Respondent. Disciplinary Proceeding No. 2011027840902 Hearing Officer - MC DEFAULT DECISION April 18, 2013 Respondent Kapil Shashikant Shah is barred from associating with any FINRA member in any capacity for failing to respond to a request for information and documents, in violation of FINRA Rules 8210 and 2010. Appearances: Joel T. Kornfeld, Esq., Los

Reference 2011027840902finra.orgdata-portal.finra.org

07/06/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. Kapil S. Shah (CRD No. 4409290), RESPONDENT. DISCIPLINARY PROCEEDING No. 2006 003 6847 03 Hearing Officer SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 6, 2009 INTRODUCTION Disciplinary Proceeding No. 2006 003 6847 03 was filed on January 6, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Kapil S. Shah submitted

01/06/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. KAPIL S. SHAH (CRD NO. 4409290), RESPONDENT. DISCIPLINARY PROCEEDING No. 2006003684703 Hearing Officer COMPLAINT The Department of Enforcement alleges: Summary 1. Tape recordings of telephone conversations from February and March 2006, made by Carlton Capital, Inc. (BD No. 42533) pursuant to the "Taping Rule", NASD Rule 3010(b)(2), reveal that Respondent Kapil Shah promised unrealistic

Reference 2006003684703data-portal.finra.orgdata-portal.finra.orgfinra.org