Yousuf Saljooki

07/29/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057626102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Yousuf Saljooki, Respondent Former General Securities Representative CRD No. 5045123 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Yousuf Saljooki ("Saljooki") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2018057626102data-portal.finra.orgfinra.org

10/15/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. YOUSUF SALJOOKI (CRD No. 5045123), Respondent. Disciplinary Proceeding No. 2019063626702 Hearing Officer–MJD DEFAULT DECISION October 15, 2020 Respondent is barred from associating with any FINRA member firm in any capacity for failing to comply with requests for information and documents and failing to provide testimony during a FINRA investigation, in violation of FINRA Rules 8210 and 2010.

04/07/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Yousuf Saljooki CRD No. 5045123, Respondent. Disciplinary Proceeding No. 2019063626702 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Yousuf Saljooki failed to provide information and documents, and failed to appear for on-the-record testimony, that FINRA Staff had requested pursuant to FINRA Rule 8210. As a result, Saljooki violated FINRA Rules 8210 and 2010.

Reference 2019063626702data-portal.finra.orgdata-portal.finra.orgfinra.org