ASHIK AKBERALI KAPASI
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/27/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ASHIK AKBERALI KAPASI (CRD No. 4259968), Respondent. Disciplinary Proceeding No. 2011028003001 Hearing Officer-DRS HEARING PANEL DECISION May 27, 2014 Respondent is barred from associating with any FINRA member firm in any capacity for providing a false response to a request for information, in violation of FINRA Rules 8210 and 2010, and for failing to respond to requests for
Reference 2011028003001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4259968 |
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