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Karinya Verghese

Karinya Verghese is Chief of Staff to the Chief Financial and Administration Officer (CFAO) and Vice President of Strategic Operations. In this role, Ms. Verghese provides strategic support to the CFAO and his leadership team, and oversees a diverse range of functions that advance Enterprise & Financial Solutions operational effectiveness and strategic direction, including strategic initiatives, business operations, training and development, and regulatory compliance.

2019064407601 Chander Ketu Goel CRD 4588999 AWC va (2021-1623975609233).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064407601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chander Ketu Goel (Respondent) Former General Securities Representative and General Securities Principal CRD No. 4588999 Pursuant to FINRA Rule 9216, Respondent Chander Ketu Goel submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.