FINRA bars representative over non-business email communications
A registered representative from Hamilton Square, N.J., was barred from associating with any FINRA members for making improper private securities transactions.
Plyush Manubhai Patel sent and received business-related emails from member customers at his personal email address, then deleted those emails to avoid detection, according to FINRA records. Email communications regarding securities transactions must be sent through business email addresses and retained.
Patel did not provide copies of the emails he deleted to the member firm, which was not identified in the FINRA case file.
Patel neither admitted nor denied the allegations, but did consent to the findings.


Regional news:








