TONY A. KASSAEI

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/22/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058547502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tony Kassaei, Respondent Former General Securities Principal and Former General Securities Representative CRD No. 4375259 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Tony Kassaei submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018058547502data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4375259

Other names1

Also known as1

Tony Kassaei

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