Arnab Sarkar Allegedly Failed to Properly Notify Northwestern Mutual Investment of Outside Business Activities

California stockbroker fraud attorney

Between August and September 2012, Arnab Sarkar, of El Cerrito, California, took part in a currency trading and real estate business, Denari Capital LLC, without providing prior written notice to his broker-dealer, Northwestern Mutual Investment Services, LLC (NMIS), a FINRA Letter of Acceptance, Waiver, and Consent (AWC) alleges. Sarkar was associated as an Investment Representative… Read more »