SURESH V KUMAR

05/23/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2020066434701 Hearing Officer—MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 23, 2022 Department of Enforcement, Complainant, v. Suresh V. Kumar CRD No. 5683972, Respondent INTRODUCTION Disciplinary Proceeding No. 2020066434701 was filed on April 20, 2022, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant).

04/20/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Suresh V. Kumar CRD No. 5683972, Respondent. Disciplinary Proceeding No. 2020066434701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Both prior to and while registered with FINRA through his association with member firm T3 Trading, Group, LLC (T3 Trading), Respondent Suresh Kumar operated an undisclosed outside business activity where he directly received hundreds of thousands of dollars from proprietary traders (participants) pursuant to verbal and written agreements in which Kumar promised to train the participants to pass the Series 57 examination, teach them to trade securities as part of his purported “team” at T3 Trading, and double the value of their initial trading deposit with T3 Trading.

Reference 2020066434701data-portal.finra.orgdata-portal.finra.orgfinra.org