RONAK C. PATEL
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/21/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RONAK C. PATEL (CRD No. 5523697), Respondent. Disciplinary Proceeding No. 20100245404 Hearing Officer-LOM DEFAULT DECISION September 21, 2011 Respondent is barred from associating with any FINRA registered linn in any capacity for: (i) failing to respond to requests for information in connection with a FINRA investigation, in
Reference 2010024540401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5523697 |
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.