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Hossein Amirriahei, of Los Angeles, California, a stockbroker formerly registered with Wells Fargo Advisors, LLC, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she failed to cooperate in an investigation into allegations of her unauthorized trading in customer accounts. Letter of Acceptance, Waiver and Consent, No. 2016051344401 (Apr. 17, 2017).

FINRA Public Disclosure reveals that on September 6, 2016, Amirriahei was terminated by Wells Fargo Advisors, LLC, based upon allegations that she effected trades in the accounts of two customers without their authorization. According to the AWC, the firm’s allegations had been investigated by FINRA in March of 2017. Apparently, on March 13, 2017, Amirriahei was sent a letter from FINRA which requested her recorded testimony relating to Wells Fargo’s allegations of her misconduct.

The AWC revealed that on March 16, 2017, counsel for Amirriahei reached out to FINRA personnel to confirm that Amirriahei understood what was expected; however, Amirriahei’s counsel also indicated that Amirriahei would not be providing FINRA recorded testimony at any point. As a result, FINRA found that Amirriahei’s conduct was violative of FINRA Rule 2010 and 8210.

FINRA Public Disclosure additionally reveals that on October 23, 2013, a customer initiated investment related arbitration claim involving Amirriahei’s conduct was settled for $60,000.00 in damages based upon allegations that Amirriahei, while employed with Prudential Securities Incorporated, made unsuitable recommendations to the customer concerning investments in stock. Additionally, on February 11, 2015, a customer filed an investment related written complaint regarding Amirriahei’s activities, based upon allegations that she omitted facts concerning the waivers, fees and charges pertaining to an insurance policy purchased by the customer.

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