For updates and guidance related to COVID-19 / Coronavirus, click here.
FINRA Disciplinary Actions Online
Displaying 1 - 2 of 2
|Case ID||Case Summary||Document Type||Firms/ Individuals||Action Date Sort ascending|
|2017055608101||FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KAPIL MAHESHWARI (CRD No. 6358540), Respondent. Disciplinary Proceeding No. 2017055608101 Hearing Officer-DW HEARING PANEL DECISION December 19, 2019 Respondent Kapil Maheshwari misused confidential information obtained from his former employer about a future corporate acquisition for trading purposes, in violation of FINRA Rule 2010. For his misconduct, Maheshwari is barred from association with any FINRA member in any capacity and||OHO Decisions||
|2017055608101||FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kapil Maheshwari (CRD No. 6358540), Respondent. DISCIPLINARY PROCEEDING No. 2017055608101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Investment bankers owe a duty of loyalty and confidentiality to their clients. Fundamental to those duties is abstaining from using confidential and proprietary information||Complaints||