Thomas Maroun Hakim
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/01/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062085501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Maroun Hakim, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 1170096 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Thomas Maroun Hakim submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019062085501data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1170096 |
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