SANDEEP D. KITSON

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/21/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C04050028 To: Department of Encorcement NASD Re: Sandeep D. Kitson Financial and Operations Principal and General Securities Principal (CRD No. 2508526) Pursuant to Rule 9216 of the NASD Code of Procedure, Sandeep D, Kilsun (Kilson), submits lliis Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD
Reference C04050028finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/01/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SANDEEP KITSON (CRD No. 2508526) GURPREET SABHARWAL (CRD No. 3206745), Respondents. Disciplinary Proceeding No. E102003128802 Hearing Officer: Sharon Witherspoon ORDER ACCEPTING OFFER OF SETTLEMENT and Date: November 1, 2006 INTRODUCTION Disciplinary Proceeding No. E102003128802 was filed on March 1, 2006, by the Department of Enforcement of NASD
Reference E102003128802data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2508526

Other names2

Also known as2

SANDEEP DAVID KITSONSANDEEP KITSON

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