Nex Systems
Type not stated

Bharminder Singh

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/24/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, V. BHARMINDER SINGH (CRD No. 5428974), Respondent. Disciplinary Proceeding No. 20100226911-02 Hearing Officer - LOM EXTENDED HEARING PANEL DECISION August 24, 2016 Respondent violated NASD Rule 2440 and its related guidance on markups and markdowns, for which violation Respondent is suspended for 30 business days and fined $50,000. The charge that he committed fraud is dismissed. Appearances For

    08/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Bharminder Singh (CRD No. 5428974), Respondent. Disciplinary Proceeding No. 20100226911-02 COMPLAINT The Department of Market Regulation alleges: SUMMARY 1. Between August, 2009 and December, 2010 (the "Relevant Period"), Respondent Bharminder Singh (a/k/a Ricky Singh), a trader for Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch"), engaged in the fraudulent scheme

    Reference 2010022691102finra.orgdata-portal.finra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.