Tarek Mohsen Mohamed
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/27/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Tarek Mohsen Mohamed (CRD No. 6717691), Respondent. Disciplinary Proceeding No. 2020067814802 Hearing Officer—RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 27, 2022 INTRODUCTION Disciplinary Proceeding No. 2020067814802 was filed on December 29, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Tarek Mohsen Mohamed submitted an
12/29/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Tarek Mohsen Mohamed (CRD No. 6717691), Respondent. Disciplinary Proceeding No. 2020067814802 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Tarek Mohsen Mohamed failed to provide a complete response to FINRA’s January and February 2021 requests for information and documents made pursuant to FINRA Rule 8210. As a result, Mohamed violated FINRA Rules 8210 and 2010.
Reference 2020067814802data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6717691 |
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