JAY KUMAR CHITNIS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/14/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. JAY KUMAR CHITNIS (CRD No. 2038685) Respondents. Disciplinary Proceeding No. 2015047037401 Hearing Officer: CC ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2015047037401 was filed on February 12, 2016, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA" or "Complainant"). Respondent Jay Kumar Chitnis submitted an
02/12/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. JAY KUMAR CHITNIS (CRD No. 2038685), Respondent. Disciplinary Proceeding No. 2015047037401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between November 2014 and September 2015, Respondent Jay Chitnis, who was during this time period the Chief Executive Officer, Chief Compliance Officer, and Financial and Operations Principal of FINRA member firm YieldQuest Securities
Reference 2015047037401data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2038685

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