Gurpreet Chandhoke – FINRA Files Complaint Against Financial Advisor Gurpreet Chandhoke | Goodman & Nekvasil P.A., May Recover Investor Losses
Gurpreet Chandhoke CRD #4999369
Gurpreet Chandhoke was a previously licensed financial advisor with Arete Wealth Management, LLC, Penserra Securities, LLC and Gordian Investments, LLC.
ACCORDING TO FINRA: On May 8, 2019, FINRA made a preliminary determination to recommend that disciplinary action be brought against Gurpreet Chandhoke alleging violations of NASD Rule 3040 and FINRA Rules 3280 and 2010 in that Gurpreet Chandhoke failed to disclose private securities transactions; violations of NASD Rule 3050(c) and FINRA Rule 2010 in that Gurpreet Chandhoke failed to disclose outside brokerage accounts held with Gurpreet Chandhoke’s member firm; violations of FINRA Rules 3270 and 2010 in that Gurpreet Chandhoke failed to disclose outside business activities; a violation of FINRA Rule 2010 in that Chandhoke structured cash deposits; and a willful violation of Section 7(f) of the Exchange Act, Federal Reserve Regulation X, and FINRA Rule 2010 in that Gurpreet Chandhoke made false statements and conducted prohibited securities purchases.
According to FINRA, the two outside business activities that Gurpreet Chandhoke was involed in are AlesiaTec, Inc., PFU, LLC, Relativity Media, LLC and Chandhoke Holdings, LLC.
If you lost money on investments with Gurpreet Chandhoke and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Gurpreet Chandhoke’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Gurpreet Chandhoke and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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