SEC
Whistleblower
Attorneys

August 09, 2018

Jinesh P. Brahmbhatt

Trading and Pricing

SANCTION AMOUNT: $1578825

Defendants: Jinesh P. Brahmbhatt

Respondent settled charges that he failed to disclose conflicts of interest to his investment advisory clients in recommending promissory notes issued by Success Trade, Inc., from which he received payments based on a brokerage relationship with an affiliated entity.

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