FINRA barred securities broker Mohammed Arif Salim [CRD: 7126671, New York, New York], according to publicly available information on FINRA BrokerCheck. It appears that Mohammed Salim worked for Morgan Stanley from November 18, 2022 to November 5, 2024, and Charles Schwab Co. Inc. from December 2, 2021 to November 15, 2022. Read the following sections to learn more about the disclosures and regulatory sanctions involving Salim.
Specifically, on July 1, 2025, FINRA issued Case: 2024083984501 sanctioning Mohammed Salim. Specifically, Salim was barred from associating with any FINRA member in all capacities. FINRA alleged that Salim refused to appear for testimony during an investigation related to his termination from Morgan Stanley.
According to FINRA, Morgan Stanley filed a Form U5 on November 5, 2024, disclosing Salim's termination over concerns about unauthorized sales and transferring client funds to pay his personal creditors. This prompted an investigation by FINRA. Salim initially cooperated, but in June 2025, he informed FINRA he would not comply with a request for testimony. His refusal constituted a violation of FINRA Rules 8210 and 2010, which require individuals under FINRA’s jurisdiction to cooperate with investigations and meet high ethical standards.
Unauthorized transactions occur when a securities broker or financial advisor makes trades or transfers in a client’s account without the client’s prior knowledge or approval. These actions violate industry rules and can result in financial harm to investors. Common examples include executing trades without permission, misusing client funds, or transferring assets for personal benefit. These violations may lead to termination, regulatory sanctions, or investor claims for damages.
Do you have questions or concerns about investments involving Mohammed Salim? If so, contact Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney. Soreide Law Group helps recover losses for investors throughout the US. Also, the firm works on a contingency fee basis and advances all costs. Salim and brokerage firms Salim worked for deny accusations of sales practice violations.
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Investors apparently complained about securities broker Gianpaolo Bicego (also known as Paolo Bicego) [CRD: 5211610, Beverly Hills, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gianpaolo Bicego worked for J.P. Morgan Securities LLC from February 17, 2010, through October 25, 2023, and has been registered with Wells Fargo Clearing […]
Investors may have suffered financial harm by securities broker Daniel Malcolm Makin [CRD: 4367894, Westerly, Rhode Island], given the disclosures on FINRA BrokerCheck. Makin worked for Raymond James Financial Services Inc. from March 21, 2001, to September 30, 2025. Investors should read below to review the disclosures reported on his record. Raymond James Investor Accused […]
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