Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ahmad Maklouf (Maklouf), previously associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include one customer complaint, one tax lien, alleging that Maklouf recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on November 19, 2024.
Without admitting or denying the findings, Maklouf consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with an investigation into his OBAs, including his potential involvement in an outside investment vehicle, while associated with his member firm.
