Haleh Farshi Farshi (CRD #4661462, Ashburn, Virginia)

August 8, 2022 – An AWC was issued in which Farshi (CRD #4661462) was barred from association with any FINRA member in all capacities Without admitting or denying the findings, Farshi consented to the sanction and to the entry of findings that she refused to provide information and documents requested by FINRA in connection with its investigation into the circumstances giving rise to a Form U5 filed by her member firm that stated that it had terminated her after she informed the firm that she had pled guilty to a conspiracy to commit bank and wire fraud charge. (FINRA Case #2022074527201)