FINRA Sanctions Tarik Nehmatullah

Soreide Law Group is investigating possible investor claims against securities broker Tarik Nehmatullah AKA Tarik Nehmatullah [CRD#: 6336491, Westminster, CO]. Notably, FINRA sanctioned the securities broker, who worked for Key Investment Services LLC. Allegedly, Nehmatullah failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary FINRA’s allegations against Nehmatullah.

FINRA Sanctions Key Investment Services LLC Securities Broker For Failure To Provide Information

Evidently, on May 23, 2022, FINRA issued Case #: 2021072499302 sanctioning Tarik Nehmatullah for infractions. Specifically, FINRA barred the securities broker. Notably, FINRA alleged that Nehmatullah failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules.

Supposedly, on June 2, 2021, Key Investment Services LLC filed a Uniform Termination Notice for Securities Regulation (Form U5) with FINRA, indicating that Nehmatullah had resigned. However, on September 8, 2021. Key Investments amended the Form U5, disclosing that, subsequent to Nehmatullah’s resignation, the firm received information that Nehmatullah had accepted a $55,000.00 loan from an investment and bank client. FINRA began an investigation into Nehmatullah based on the information contained in the amended Form U5. On May 5, 2022, FINRA sent a request to Nehmatullah for the production of information and documents. On May 11, 2022, Nehmatullah responded to the quest via a phone call with FINRA staff, where he indicated that he had received the request but would not produce the information and documents. As a result, Nehmatullah violated FINRA Rules 2010 and 8210.

Wells Fargo Clearing Services Terminates Securities Broker Tarik Nehmatullah For Unauthorized Transactions

Also, Wells Fargo Clearing Services disaffiliated with Nehmatullah. Allegedly, Nehmatullah made unauthorized transactions.

Recent Employer Information

Tarik Nehmatullah worked for Key Investment Services in Westminster, CO, as a securities broker from January 30, 2020 to June 2, 2021.

Damages Resulting From Key Investment Services LLC Securities Broker Tarik Nehmatullah?

Have you suffered damages because of investing through Tarik Nehmatullah? If so, contact Soreide Law Group at (888) 760-6552 and speak with a securities attorney about potentially recovering your investment losses. Soreide Law Group, who has successfully recovered money for investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Nehmatullah and brokerage firms Nehmatullah was employed by deny any and all allegations of sales practice violations.