Nex Systems
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Gurpreet Chandhoke

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

    11/04/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GURPREET CHANDHOKE (CRD No. 4999369) and STEPHEN SHEA (CRD No. 3274649), Respondents. Disciplinary Proceeding No. 2015047244701 Hearing Officer-LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 4, 2020 INTRODUCTION Disciplinary Proceeding No. 2015047244701 was filed on August 12, 2019, by the

    08/12/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GURPREET CHANDHOKE (CRD No. 4999369 and STEPHEN SHEA (CRD No.3274649), Respondents. Disciplinary Proceeding No. 2015047244701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Over the course of more than three years, between March 2014 and August 2017, Respondents Gurpreet Chandhoke and Stephen Shea consistently failed to meet their obligations to disclose private

    Reference 2015047244701data-portal.finra.orgdata-portal.finra.orgfinra.org

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