JOSEPH C FARAH
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/08/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Joseph C. Farah (CRD No. 2978633), Respondent. DISCIPLINARY PROCEEDING No. 2014041432401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While associated with Gold Coast Securities, Respondent Joseph C. Farah persuaded Gold Coast customer LN to open an account at TD Ameritrade and to provide him with discretionary authority over that account. Farah promised that he would reimburse LN for
01/25/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOSEPH C. FARAH (CRD No. 2978633), Respondent. Disciplinary Proceeding NO. 2014041432401 Hearing Officer-RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 25, 2018 INTRODUCTION Disciplinary Proceeding No. 2014041432401 was filed on May 8, 2017, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Joseph C. Farah submitted
Reference 2014041432401data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2978633 |
Other names1
Also known as1
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.