Atiq Urrehman Khan (also known as Daniel Khan) of Covina California a stockbroker formerly employed by Transamerica Financial Advisors Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon Khan’s consent to findings that he obstructed a FINRA investigation into allegations of his unapproved solicitation of […]
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Tag Archives: Atiq Urrehman Khan
Transamerica Broker Barred In Investigation
October 04, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments
FINRA’s Wrath Against Khan
June 25, 2018 | Posted by : Guiliano Law Group | Breach of Fiduciary Duty, Investment and Regulatory News | 0 Comments
Atiq Urrehman Khan of Covina California a stockbroker formerly registered with Transamerica Financial Advisors Inc. has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that he failed to make an appearance for FINRA personnel during an investigation into Khan’s apparent improper solicitation of securities. Department of Enforcement v. Atiq U. Khan […]
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