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Elias Moses Hakimian

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

    04/21/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062902601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Elias Moses Hakimian (Respondent) Former General Securities Representative and Former General Securities Principal CRD No. 4404048 Pursuant to FINRA Rule 9216, Respondent Elias Moses Hakimian submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019062902601data-portal.finra.orgfinra.org

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