Defendant Name:
Pawan Kumar Passi
Defendant Type:
Individual
Document Reference:
34-99337
Document Details
Legal Case Name
In the Matter of Pawan Kumar Passi
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
12-Jan-2024
Document Format
Administrative Proceeding
Allegation Type
Other
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
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
Monetary Penalties:
Civil Penalty
Individual:
$250,000.00
Shared:
