Forouzan Pooladi
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/12/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064174601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Forouzan Pooladi, Respondent Former Registered Representative CRD No. 6642157 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Forouzan Pooladi submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019064174601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6642157 |
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.