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FINRA Bars Haleh Farshi Following Fraud Charge

Nov 15, 2022 Barred Broker

Haleh Farshi (CRD #: 4661462), a broker registered with Lincoln Financial Advisors, has been barred by FINRA, according to her BrokerCheck record, accessed on October 23, 2022. Keep reading if you have questions about her conduct as a broker.

Bar by FINRA

On August 8, 2022, Haleh Farshi consented to the entry of findings that she refused to provide FINRA with information and documents requested as part of an investigation into her discharge from Lincoln Financial Advisors.

According to a Letter of Acceptance, Waiver & Consent (AWC), Lincoln Financial Advisors allegedly filed a Uniform Termination Notice for Securities Industry Registration (Form U5) stating that Haleh Farshi was fired after disclosing her guilty plea to a conspiracy to commit bank and wire fraud charge.

Haleh Farshi allegedly informed FINRA on June 2, 2022, that she would not be providing the requested documents or information.

The AWC concluded that this alleged refusal violated FINRA Rules 8210 and 2010.

FINRA Rules 8210 and 2010

FINRA Rule 8210 requires members to provide information, documents, and testimony upon request by FINRA.

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.


Haleh Farshi was permanently barred by FINRA starting on August 8, 2022.

You can read the full AWC here.

Discharge from Lincoln Financial Advisors

On March 4, 2022, Haleh Farshi was fired from Lincoln Financial Advisors after allegedly informing the firm that she had pleaded guilty to a charge of conspiracy to commit bank and wire fraud.

Criminal Charge

On October 28, 2021, Haleh Farshi pleaded guilty to a charge of conspiracy to commit wire fraud and bank fraud.

Background Information

Haleh Farshi has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

She previously worked for the following firms:

  • Lincoln Financial Advisors (CRD#:3978)
  • United Brokerage Services (CRD#:39062)
  • Cantella & Company (CRD#:13905)
  • Raymond James Financial Services (CRD#:6694)
  • SunTrust Investment Services (CRD#:17499)
  • United Brokerage Services (CRD#:39062)

Kurta Law Can Help

If you worked with Haleh Farshi and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.