IMRAN FAROOQ MUKATI is currently employed as a Broker and/or Investment Adviser at CABRERA CAPITAL MARKETS, LLC located at 135 s. State College Blvd, Suite 200, Brea, CA, 92821.
IMRAN FAROOQ MUKATI has worked at CABRERA CAPITAL MARKETS, LLC since February 09, 2017
IMRAN FAROOQ MUKATI has 3 Disclosure Event(s).
Date: December 04, 2014 Category: Judgment / Lien Judgment/Lien Amount: $6,236.00 Judgment/Lien Type: Tax Broker Comment: FROM IMRAN'S UNDERSTANDING, THE LIENS SHOULD'VE BEEN REMOVED PER THE WORKOUT WITH THE IRS. HE IS IN THE PROCESS WITH THE IRS TO REMOVE THEM.
Date: September 10, 2013 Category: Regulatory Initiated By: FINRA Allegations: FINRA RULE 2010, NASD RULE 1021: MUKATI SIGNED UP FOR THE SERIES 24 EXAMINATION, TO BE REGISTERED AS A PRINCIPAL, ON SEVERAL OCCASIONS, BUT NEVER PASSED THE EXAMINATION. ALTHOUGH MUKATI HAS NEVER BEEN REGISTERED THROUGH THE SERIES 24 EXAMINATION AS A GENERAL SECURITIES PRINCIPAL, MUKATI ACTED AS A PRINCIPAL BY SIGNING CHECKS FOR HIS MEMBER FIRM AND REVIEWING FINANCIAL RECORDS. Resolution: Acceptance, Waiver & Consent(AWC) SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $5,000.00 Regulator Statement: WITHOUT ADMITTING OR DENYING THE FINDINGS, MUKATI CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS; THEREFORE HE IS FINED $5,000.FINE PAID IN FULL ON JULY 7, 2014.
Date: September 11, 2012 Category: Judgment / Lien Judgment/Lien Amount: $38,543.00 Judgment/Lien Type: Tax Broker Comment: FROM IMRAN'S UNDERSTANDING, THE LIENS SHOULD'VE BEEN REMOVED PER THE WORKOUT WITH THE IRS. HE IS IN THE PROCESS WITH THE IRS TO REMOVE THEM.THEM.
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for IMRAN FAROOQ MUKATI, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More