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)
Matthew Schwartz
Matthew Schwartz represents clients harmed by lawyers, accountants, insurance professionals, real estate agents, brokers, financial advisors, and other trusted professionals. He handles Florida litigation and nationwide FINRA arbitration. He has been recognized in The Best Lawyers in America® and named to the Best Law Firms® list.
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