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ARUN KUMAR SALWAN

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/14/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO 2005002557301 To: Department of Enforcement NASD Re: Arun Kumar Sal wan Registered Representative CRD # 4288865 Pursuant to Rule 9216 of NASD Code of Procedure, Arun Kumar Salwan ("Salwan" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future

    Reference 2005002557301data-portal.finra.orgfinra.org

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