Aarti Hinal Patel

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/09/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060040901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Aarti Hinal Patel, Respondent Former Investment Company Products/Variable Contracts Representative CRD No. 5614912 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Aarti Hinal Patel submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2018060040901finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5614912

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