GunnAllen Financial, Inc.
Soneet R. Kapila was the court appointed Chapter 11 Examiner of this broker-dealer alleged to have committed numerous violations of federal securities laws and regulations and which was closed down by The Financial Industry Regulatory Authority (“FINRA”). His scope included investigating the Debtors pre-petition transactions leading to a shut-down of the business. Following confirmation of the Plan of Reorganization, Soneet Kapila was appointed the Liquidation Agent.
