NICO RAWINDER SINGH SETHI is currently employed as a Broker and/or Investment Adviser at SANTANDER SECURITIES LLC located at 101 EAST OLNEY AVENUE, PHILADELPHIA, PA, 19120.
NICO RAWINDER SINGH SETHI has worked at SANTANDER SECURITIES LLC since February 26, 2015
Disclosure History
NICO RAWINDER SINGH SETHI has 4 Disclosure Event(s).
Date: November 10, 2014 Category: Employment Separation After Allegations Firm Name: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Termination Type: Discharged Allegations: CONDUCT INVOLVING REGULATORY ACTIONS IN THE STATES OF COLORADO AND NEW YORK AND REPRESENTATIVE'S FAILURE TO DISCLOSE THE ACTIONS TO MANAGEMENT.
Date: April 03, 2014 Category: Regulatory Initiated By: DEPARTMENT OF FINANCIAL SERVICES - STATE OF NEW YORK Allegations: RAWINDER SINGH PROVIDED MATERIALLY INCORRECT AND UNTRUE INFORMATION WITHIN THE MEANING OF SECTION 2110(A)(2) OF THE INSURANCE LAW Resolution: Stipulation and Consent SanctionDetails: Sanctions: Monetary Penalty other than Fines SanctionDetails: Amount: $1,500.00 Broker Comment: NY DFS Insurance License Approved & Issued as of 05/11/2015
Date: April 18, 2012 Category: Regulatory Initiated By: DIVISION OF INSURANCE - STATE OF COLORADO Allegations: THE APPLICATION FOR LICENSURE IS DENIED PURSUANT TO 10-2-801(1)(A), (C), (D), (I), (M) AND (P), C.R.S. Resolution: LICENSURE REQUEST DENIED SanctionDetails: Sanctions: Denial
Date: July 16, 2008 Category: Regulatory Initiated By: STATE OF COLORADO DEPARTMENT OF REGULATORY AGENCIES DIVISION OF INSURANCE Allegations: RAWINDER SINGH FAILED TO TIMELY FILE THE ANNUAL BAIL BOND REPORT FOR THE PERIOD JULY 1,2006 - JUNE 30, 2007 Resolution: Order SanctionDetails: Sanctions: Monetary Penalty other than Fines SanctionDetails: Amount: $300.00 Broker Comment: FILED ANNUAL REPORT AFTER NOVEMBER 1ST, 2007 DUE DATE - PAID CIVIL PENALTY OF $300
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