TANVEER A. PARACHA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/07/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TANVEER A. PARACHA, (CRD No. 4601108) Respondent. Disciplinary Proceeding No. C9B050001 Hearing Officer - COMPLAINT Upon information and belief, Complainant alleges the following: 1. Respondent Tanveer A. Paracha ("Paracha") became registered with NASD as a Series 7 general securities representative on or about October 29, 2002. 2. From on or about October 22, 2002, through on or about December 19, 2003, Paracha was associated with
06/08/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TANVEER A. PARACHA (CRD No. 4601108), Respondent. Disciplinary Proceeding No. C9B050001 DEFAULT DECISION Hearing Officer -SW June 8, 2005 Respondent is barred from associating with any NASD member firm in any capacity for: (1) engaging in unsuitable excessive trading in stocks and options in a customer's account, in violation of IM-2310-2 and NASD Conduct Rules 2310, 2860(b)(19),
Reference C9B050001data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4601108 |
Other names1
Also known as1
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