Tag Archives: Partho Sarathi Ghosh

FINRA Sanctions NYLife Stockbroker For Outside Business Activities

Partho Sarathi Ghosh of New York New York a stockbroker registered with NYLife Securities LLC has been fined $25,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Extended Hearing Panel Decision containing findings that Ghosh engaged in undisclosed outside business activities. Department […]

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NYLife Broker Charged With Outside Business Activities

Partho Sarathi Ghosh of New York New York a stockbroker formerly registered with NYLife Securities LLC has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Ghosh participated in an undisclosed outside business activity involving his marketing of finance solutions to prospective customers. Department of Enforcement v. Partho […]

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