In November, Finra barred Brahmbhatt, after he failed to appear for testimony in the regulator’s enforcement case against the firm and Ahmed. Brahmbhatt, who consented to the sanction in a settlement with Finra, neither admitted nor denied Finra’s findings, according to a regulatory document.
U.S. Brokerage Must Pay Athletes $13.7 Million For Ponzi Fraud: Finra
June 26, 2014
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