VIKRAM MANHAS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/06/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. VIKRAM MANHAS (CRD No. 2518451), Respondent. Disciplinary Proceeding No. 20050027081-01 Hearing Officer COMPLAINT Upon information and belief, the Department of Enforcement ("Complainant") alleges as follows: JURISDICTION Respondent Vikram Manhas ("Respondent") was registered as an Investment Company Products/Variable Contracts Representative ("IR") (from July 28, 1994 through
02/21/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. VIKRAM MANHAS (CRD No. 2518451), Respondent. Disciplinary Proceeding No. 20050027081-01 DEFAULT DECISION Hearing Officer-SW Date: February 21, 2007 Respondent is barred from associating with any member firm in any capacity for: (1) converting funds from customer WP's securities account, in violation of NASD Conduct Rules 2330(a) and 2110; (2) falsifying documents, in violation of NASD Conduct Rule 2110; and (3) failing
Reference 2005002708101data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2518451 |
Other names1
Also known as1
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