Chams Khwaja
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/24/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHAMS KHWAJA (CRD No. 6906622), Respondent. Disciplinary Proceeding No. 2019063626701 Hearing Officer-LOM DEFAULT DECISION July 24, 2020 Respondent Chams Khwaja is barred from associating with any FINRA member in any capacity for failing to provide documents and information requested pursuant to FINRA Rule 8210. Appearances For the Complainant: Melissa J. Turitz, Esq., Jeff Fauci, Esq., Department of Enforcement, Financial Industry Regulatory Authority
04/01/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Chams Khwaja CRD No. 6906622, Respondent. Disciplinary Proceeding No. 2019063626701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Chams Khwaja failed to provide information and documents that
Reference 2019063626701data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6906622 |
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