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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
KAPIL MAHESHWARI
12/19/2019
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
Kapil Maheshwari
02/07/2019