Tejinder Singh: FINRA Investigates Reliance Capital Advisor

Half Moon Bay, California financial advisor Tejinder Singh (CRD# 2547590) allegedly violated Financial Industry Regulatory Authority rules, according to a recent investigation. FINRA records show that he is registered as a broker with Reliance Capital Management Advisors.

Mr. Singh’s BrokerCheck report discloses FINRA’s investigation into his conduct. Filed in September 2024, it states that the firm preliminarily determined to recommend disciplinary action against him in connection with allegations that he violated FINRA rules. The action would specifically allege that he violated FINRA Rules 8210 and 2010 by failing to provide documents and information requested by FINRA. It would also allege that he violated the same rules by failing to appear for on-the-record testimony the regulator requested.

Under FINRA Rule 8210, FINRA is empowered to require persons under its jurisdiction to provide information and documents connected to matters under its investigation. The rule also stipulates that such persons may not refuse to provide documents and information requested by FINRA. Violations of Rule 8210 are considered violations of Rule 2010, which requires persons associated with FINRA to observe high standards of commercial honor and just and equitable principles of trade in the course of their business. Brokers who violate these rules may be subject to disciplinary action.

According to the Financial Industry Regulatory Authority, Tejinder Singh holds 23 years of securities industry experience. Based in Half Moon Bay, California, he has been registered as a broker with Reliance Capital Management Advisors since 2004. His past registrations include CE Unterberg Towbin (New York, New York; 1995-1998) and Smith Barney (New York, New York; 1994-1995). His credentials include the passage of eleven securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Registered Options Principal Examination, or Series 4; the Financial and Operations Principal Examination, or Series 27; the Compliance Officer Examination, or Series 14; the General Securities Representative Examination, or Series 7; the Research Analyst Exam – Part I Analysis Module, or Series 86; the Research Analyst Exam – Part II Regulations Module, or Series 87; the Securities Industry Essentials Examination, or SIE; the Operations Professional Examination, or Series 99TO; the Investment Banking Registered Representative Examination, or Series 79TO; and the Uniform Combined State Law Examination, or Series 66. He is licensed in California and New York. (Information current as of September 29, 2024.)

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