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Complaint Cites Atiq Khan for Failing to Appear in Unauthorized Solicitation, Beneficiary Investigation

After former Transamerica Financial Advisors (Covina, California) broker Atiq Urrehman Khan (aka Danial Khan) of Gardena, CA allegedly solicited firm customers to purchase "general securities products" in contravention of firm policy, Transamerica terminated him and FINRA launched an investigation, resulting in a Complaint when Khan failed to appear for testimony.

Complaint #2016052504602

In December 2016, Transamerica terminated Khan (CRD #4727750) for soliciting firm customers to purchase "general securities products" when he was not permitted to do so. Furthermore, the firm found that Khan had improperly listed himself as the beneficiary on a customer's account.

The Complaint states FINRA staff was concerned at Khan's "alleged failure to disclose" the solicitations and his "alleged influence of a customer to name him as a beneficiary," opting to suspend Kahn from November 2017 through January 2018 before filing the present Complaint.

Khan's BrokerCheck file indicates a prior tax judgment/lien in 2012 for nearly $42,000. Khan previously held a registration with World Group Securities of Anaheim.

If you have invested with or received solicitation to invest with former Transamerica Financial Advisors rep Atiq Urrehman "Daniel" Khan or with any broker or financial adviser who has engaged in unauthorized transactions or account activity—such as inappropriately adding or attempting to influence you to modify listed beneficiaries—and this illicit conduct has proven harmful to your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.