David Khezri

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/23/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070381701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Khezri (Respondent) Former General Securities Representative CRD No. 2736831 Pursuant to FINRA Rule 9216, Respondent David Khezri submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that
Reference 2021070381701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/24/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044589701 TO: Deparment of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Khezri, Respondent General Securities Representative [CRD No. 2736831] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Khezri, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is
Reference 2015044589701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2736831

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