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FINRA Disciplinary Actions Online
Displaying 1 - 1 of 1
|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||