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.
Investors potentially incurred losses because of securities broker Sandeep Madhavan [CRD: 4673687, El Segundo, California], according to information disclosed through FINRA BrokerCheck. Madhavan has worked for Ameriprise Financial Services as a securities broker since August 15, 2003, and as a financial advisor since May 10, 2007. Continue reading to find out more about the disclosed […]
Investors may have suffered financial harm by securities broker Carlos C. Garcia [CRD: 2635960, Westport, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Garcia has worked for Kovack Securities Inc. and Kovack Advisors Inc. since October 19, 2012. See below to learn more about Garcia’s disclosures. Kovack Investor Accused Garcia Of […]
Investors might have sustained losses due to securities broker David Victor Janny [CRD: 1272727, Easton, Connecticut], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Janny has worked for Ameriprise Financial Services LLC since July 15, 2022, and previously worked for Morgan Stanley from November 21, 2012, to August 3, 2022. Investors […]
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