Tejinder Singh is the Subject of a FINRA Investigation

Tejinder Singh (CRD #: 2547590), a broker registered with Reliance Capital Management Advisors, is the subject of a FINRA investigation. This disclosure appears on his BrokerCheck record, accessed on October 24, 2024. Keep reading if you have questions concerning his alleged conduct. 

FINRA Investigation 

On September 19, 2024, FINRA announced a preliminary determination to recommend that disciplinary action be brought against Tejinder Singh following allegations that he violated FINRA Rule 8210 when he failed to provide documents and information requested by FINRA. 

FINRA Rule 8210

FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.

Background Information 

Tejinder Singh has passed the following exams: 

• Series 66 Uniform Combined State Law Examination
• Series 79TO Investment Banking Registered Representative Examination 
• Series 99TO Operations Professional Examination 
• SIE – Securities Industry Essentials Examination 
• Series 87 Research Analyst Exam – Part II Regulations Module
• Series 86 Research Analyst Exam – Part I Analysis Module
• Series 7 General Securities Representative Examination 
• Series 14 Compliance Officer Examination 
• Series 27 Financial and Operations Principal Examination 
• Series 4 Registered Options Principal Examination 
• Series 24 General Securities Representative Examination 

He is a registered broker in California and New York. 

Tejinder Singh has registered with three firms: 

• Reliance Capital Management Advisors (CRD #: 131793) 
• C.E. Unterberg, Towbin (A California Limited Partnership) (CRD #: 24790) 
• Smith Barney (CRD #: 7059) 

Kurta Law Can Help 

If you worked with Tejinder Singh and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email 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 that 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. Do not let securities fraud go unchecked. Start your recovery process today.