ROBERT AHMAD SAMEI
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/04/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT AHMAD SAMEI (CRD No. 4952673), Respondent. Disciplinary Proceeding No. 2007010925001 DEFAULT DECISION Hearing Officer - MC May 4, 2009 Respondent is barred from associating with any FINRA member firm in any capacity for failing to respond to requests for information made by FINRA staff, in violation of Conduct Rule 2110 and Procedural Rule 8210. In light of the bar, no separate sanction is
Reference 2007010925001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4952673 |
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