Kapil Maheshwari

12/19/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KAPIL MAHESHWARI (CRD No. 6358540), Respondent. Disciplinary Proceeding No. 2017055608101 Hearing Officer-DW HEARING PANEL DECISION December 19, 2019 Respondent Kapil Maheshwari misused confidential information obtained from his former employer about a future corporate acquisition for trading purposes, in violation of FINRA Rule 2010. For his misconduct, Maheshwari is barred from association with any FINRA member in any capacity and

02/07/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kapil Maheshwari (CRD No. 6358540), Respondent. DISCIPLINARY PROCEEDING No. 2017055608101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Investment bankers owe a duty of loyalty and confidentiality to their clients. Fundamental to those duties is abstaining from using confidential and proprietary information

12/17/2020: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Kapil Maheshwari Clark, NJ, Respondent. DECISION Complaint No. 2017055608101 December 17, 2020 Respondent misused confidential information concerning a corporate acquisition. Held, findings and sanctions affirmed. Appearances For the Complainant: Michael Rogal, Esq., Samir Ranade, Esq., Department of Enforcement, Financial Industry Regulatory Authority For the Respondent: Robert Heim, Esq. Decision Kapil Maheshwari appeals a December 19, 2019 Hearing Panel decision. The Hearing

Reference 2017055608101data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org