SHAHRYAR SOHI
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/28/2013: FINANCIAL INDUSTRY REGIJLATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032211201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA'') RE: Shahryar Sohi CRD No. 2214610 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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 submitted on the condition that, if accepted, FINRA will not bring
Reference 2012032211201finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2214610 |
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