SANJEEV JAYANT SHAH

09/15/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SANJEEV JAYANT SHAH, (CRD No. 4009454), Respondent. DISCIPLINARY PROCEEDING No. 2009017788201 COMPLAINT The Department of Enforcement alleges: OVERVIEW 1. Between October 2008 and March 2009, Sanjeev Jayant Shah ("Shah"), while employed at Citigroup Global Markets Inc. (the "Firm," "Citigroup" or "Smith Barney"), engaged in unauthorized trading, made improper use of over $3 million of customer

01/31/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SANJEEV JAYANT SHAH (CRD No. 40009454), Respondent. Disciplinary Proceeding No. 20090177882 Hearing Officer - MC DEFAULT DECISION January 31, 2011 Respondent (i) engaged in unauthorized trades, in violation of FINRA Conduct Rule 2010, NASD Conduct Rule 2110, and IM-2310-2; (ii) made improper use of customer funds, in violation of FINRA Conduct Rule 2010 and NASD Conduct Rule 2330(a); (iii) forged

Reference 2009017788201data-portal.finra.orgfinra.orgdata-portal.finra.org