Defendant Name:
Pawan Kumar Passi
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Pawan Kumar Passi
First Document Date
12-Jan-2024
Initial Filing Format
Administrative Action
File Number
3-21826
Allegation Type
Other
Affiliations
- Former: Managing Director at Morgan Stanley & Co. LLC (Until November 17, 2022)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 1 year
- Bar from participating in any penny stock offering for 1 year
- Bar on association in a supervisory capacity with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 2 years
First Resolution Date
12-Jan-2024
Headline Total Penalty and Disgorgement
$250,000
