SOENA SAHNI
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/15/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT No.2006004335701 TO: Department of enforcement NASD RE: Soena Sahni, Respondent CRD No. 4514611 Pursuant to Rule 9216 of NASD Code of Procedure, Soena Sahni ("Sahni") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part 11 below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me
Reference 2006004335701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4514611 |
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