GSDT Fintech Group Inc. (GSDT)

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Niphix Investments, Inc. (CRD #39378, Peoria, Illinois) and Nimish Gandhi (CRD #2666422, Registered Principal, Peoria, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which they were censured and fined $15,000, jointly and severally. Without admitting or denying the findings, the firm and Gandhi consented to the described sanctions and to the entry of findings that the firm, acting through Gandhi, did not have a written training plan to provide for a continuing and current education program for the firm’s registered persons, and failed to hold annual compliance meetings. The findings stated that the firm, acting through Gandhi, failed to maintain records and documents relating to the NASD Breakpoint Assessment, the Mutual Fund Self-Assessment and the NASD Breakpoint Online Survey. (NASD Case #E8A2005014702)