Rohit Bansal

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/16/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043517201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Rohit Bansal, Respondent CRD No. 6376630 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Rohit Bansal, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that
Reference 2014043517201data-portal.finra.org finra.org
Effective
5 Nov 2015
US Federal Reserve Enforcement Actions
Federal Reserve BoardUS Federal Reserve Enforcement ActionsUnited States
Prohibition from Banking
Programme US-FED-ENFfederalreserve.gov federalreserve.gov

Identifiers1

Identifier	Number
ID number	6376630

Supporting documents1

Federal Reserve Board permanently bars Rohit Bansal from participating in the banking industry
2015-11-05
https://www.federalreserve.gov/newsevents/pressreleases/enforcement20151105a.htm

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