MAYUR T DALAL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/09/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065664201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mayur T. Dalal (Respondent) Former General Securities Representative (GSR), Investment Company and Variable Contracts Products Representative (IR), and Investment Company Products / Variable Contracts Principal (IP) CRD No. 1853077 Pursuant to FINRA Rule 9216, Respondent Mayur T. Dalal submits this Letter of Acceptance, Waiver, and Consent (AWC)
Reference 2020065664201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1853077

Other names1

Also known as1

Mayur T. Dalal

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