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
Disclosure History
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.
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