Taspia Rahman Barred By FINRA For Refusing To Provide Testimony
FINRA barred Taspia Rahman (CRD #7757705), a Brooklyn, New York broker, after she refused to appear for on-the-record testimony. An AWC dated July 24, 2026 records the bar.
According to the AWC, Rahman consented to the sanction and to the entry of findings. She did so without admitting or denying the findings.
What Led To The Taspia Rahman Investigation
According to the findings, FINRA's investigation began with a referral from a testing center. That referral, filed with FINRA, concerned a violation of testing regulations.
During the investigation, FINRA requested on-the-record testimony from Taspia Rahman. The findings state that she refused to appear for that testimony.
FINRA's Sanction Against Taspia Rahman
FINRA resolved the matter against Taspia Rahman through an AWC dated July 24, 2026. The AWC carries FINRA Case #2025086924101.
As a result, FINRA barred Rahman from association with any FINRA member in all capacities.
What FINRA Rule 8210 Requires
FINRA Rule 8210 lets FINRA require documents, information, and on-the-record testimony during an investigation. The rule covers member firms and the people who work for them. Refusing to comply is also a violation in itself. As a result, a refusal often leads to a bar from the securities industry.
Questions About An Account Handled By Taspia Rahman?
FINRA member firms must supervise the activities of their brokers. If you have questions about an account that Taspia Rahman handled, call Soreide Law Group at (888) 760-6552. You can also reach us online to speak with a securities attorney. Our securities lawyers handle FINRA arbitration claims on a contingency fee basis. Learn how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of September 30, 2026. In a FINRA Letter of Acceptance, Waiver and Consent, the respondent settles without admitting or denying the findings. FINRA may also update or correct these records after that date.
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