Nex Systems
Type not stated

GURPREET SABHARWAL

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

    11/01/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SANDEEP KITSON (CRD No. 2508526) GURPREET SABHARWAL (CRD No. 3206745), Respondents. Disciplinary Proceeding No. E102003128802 Hearing Officer: Sharon Witherspoon ORDER ACCEPTING OFFER OF SETTLEMENT and Date: November 1, 2006 INTRODUCTION Disciplinary Proceeding No. E102003128802 was filed on March 1, 2006, by the Department of Enforcement of NASD

    Reference E102003128802data-portal.finra.orgfinra.org

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