NAJIB HOSSAIN KHAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/18/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062973402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Najib H. Khan (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5771774 Pursuant to FINRA Rule 9216, Respondent Khan submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019062973402data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5771774

Other names1

Also known as1

Najib H. Khan

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