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Jawahar Waknis is the Subject of a New York Stock Exchange Investigation

Feb 28, 2022 Regulatory Action

Jawahar Waknis (CRD #:5861481), a broker registered with GTS Securities, is the subject of a New York Stock Exchange investigation, according to his BrokerCheck record, accessed on February 15, 2022.

New York Stock Exchange Allegations 

On December 9, 2021, Jawahar Waknis was the subject of a New York Stock Exchange Investigation alleging violations of 10(b) of the Securities Exchange Act of 1934. Section 10(b) of the 1934 Exchange Act forbids “manipulative and deceptive practices” in the sale of securities. 

Background Information

Jawahar Waknis has passed the following exams:       

  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination
  • Series 56 - Proprietary Trader Qualification Examination

Besides GTS Securities, he has not worked with any other firm.

Kurta Law Can Help

If you have worked with Jawahar Waknis and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.