ATIQ URREHMAN KHAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/08/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Atiq U. Khan (CRD No. 4727750), Respondent. DISCIPLINARY PROCEEDING No. 2016052504602 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On September 8, 2017 and October 11, 2017, Atiq U. Khan failed to appear for testimony in response to two requests sent to him by FINRA Staff pursuant to FINRA Rule 8210. Khan did not appear for testimony in response to two requests sent to him by FINRA
09/27/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ATIQ U. KHAN (CRD No. 4727750), Respondent. Disciplinary Proceeding No. 2016052504602 Hearing Officer-JLC DEFAULT DECISION September 27, 2018 Respondent violated FINRA Rules 8210 and 2010 by failing to respond timely to Rule 8210 requests for on-the-record testimony and failing to respond to Rule 8210 requests for documents. For this misconduct, Respondent is barred.
Reference 2016052504602data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4727750

Other names1

Also known as1

Atiq U. Khan

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