Jay S. Sheth


April 18, 2022

Type of alert:

Jay S. Sheth recently entered into a FINRA Acceptance, Waiver, and Consent. Sheth allegedly made non-authorized payments to firm customers to compensate them for losses, engaged in private securities transactions without providing prior written notice or receiving approval, and communicated through unapproved channels including text messages and WhatsApp. He consented, without confirming or denying the allegations, to a three-month suspension from associating with any FINRA member and a $20,000 fine.

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