CHINTAMAN M DALVI

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/16/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. GREATER METROPOLITAN INVESTMENT SERVICES, INC. (BD 17452), JAMES THOMAS PATTEN (CRD 1143818), AND CHINTAMAN M. DALVI (CRD 1981088), RESPONDENTS. DISCIPLINARY PROCEEDING No. 2005000245601 HEARING OFFICER: HALL ORDER ACCEPTING CHINTAMAN DALVI'S OFFER OF SETTLEMENT The Department of Market Regulation ("Complainant") filed a Complaint
Reference 2005000245601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1981088

Other names1

Also known as1

CHINTAMAN M. DALVI

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