Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kabir Gangahar (Gangahar), previously associated with Kms Financial Services, Inc., has at least 2 disclosable events. These events include 2 tax liens, alleging that Gangahar recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 16, 2024.
Gemini and Gangahar had willfully violated Section 202 of the Investment Advisers Act of 1940 by engaging in a cherry picking scheme. SEC Order 9-30-2024
