Nex Systems
Person

FARAN S KASSAM

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/13/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FARAN S. KASSAM (CRD No. 4816180), Respondent. Disciplinary Proceeding No. 2010025127401 Hearing Officer-Andrew H. Perkins DEFAULT DECISION May 13, 2011 Respondent is barred from associating with any FINRA registered firm for failing to respond to requests for information, in violation of Procedural Rule 8210 and Conduct Rule 2010. Appearances Sean W. Firley, Esq., and David B. Klafter, Esq., for

    Reference 2010025127401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4816180

Other names1

Also known as1

FARAN S. KASSAM

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