Chander Ketu Goel
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/18/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064407601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chander Ketu Goel (Respondent) Former General Securities Representative and General Securities Principal CRD No. 4588999 Pursuant to FINRA Rule 9216, Respondent Chander Ketu Goel submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019064407601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4588999 |
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