Atiq Khan, formerly with TransAmerica Financial Advisors, Subject of FINRA Complaint
Have you lost money with financial advisor Atiq Khan of Covina, California? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Atiq U. Khan. FINRA seeks to bar Khan from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Khan after he was terminated by his former brokerage firm, TransAmerica Financial Advisors. TransAmerica Financial Advisors terminated Khan regarding allegations that he solicited investors to invest in securities that Khan was purportedly not allowed to sell.
Atiq Khan was a financial advisor and registered representative of TransAmerica Financial Advisors from January 2012 to December 2016. He worked at a branch office in Covina, California.
Brokerage firms like TransAmerica Financial Advisors have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout California. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Khan, Atiq FINRA Complaint
Click to view: Khan, Atiq BrokerCheck 6.11.18
If you lost money with Atiq Khan or TransAmerica Financial Advisors, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.