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FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2019064313901 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Paramveer Singh CRD No. 5224401, Respondent. Disciplinary Proceeding No. 2019064313901 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On May 30, 2019, while registered through BofA Securities, Inc. (BofA), Respondent Complaints
Paramveer Singh