Abdul Matin Rahmani of Mineola New York a stockbroker formerly registered with Joseph Stone Capital LLC has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement with engaging in outside business activities when he was associated with Joseph Stone, and with failing to be cooperative with FINRA during the time that he was […]
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Tag Archives: Abdul Matin Rahmani
Joseph Stone Stockbroker Charged In Axe Marketing Investigation
June 12, 2021 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | Comments Off on Joseph Stone Stockbroker Charged In Axe Marketing Investigation
SW Stockbroker Investigated By FINRA For Selling Away
September 14, 2020 | Posted by : Guiliano Law Group | Selling Away and Outside Activities | Comments Off on SW Stockbroker Investigated By FINRA For Selling Away
Abdul Matin Rahmani (also known as Abdul Rahmani) of Melville New York a stockbroker formerly registered with SW Financial is the subject of an August 5, 2020 FINRA investigation in which he may face a disciplinary action from FINRA Department of Enforcement based upon accusations of him engaging in undisclosed outside business activities and failing […]
Read More »SW Financial Fires Broker For Outside Business Activities
August 01, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments
Abdul Matin Rahmani of Mineola, New York, a stockbroker formerly registered with SW Financial, has been discharged by the firm on December 15, 2017 founded on allegations that he engaged in outside business activities in violation of both the firm’s policy and FINRA Rule 3270. SW Financial alleged that without the firm’s permission, Rahmani enlisted […]
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