Defendant Name:
Khaled "Kal" Bassily
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Khaled "Kal" Bassily
First Document Date
03-Jan-2018
Initial Filing Format
Administrative Action
File Number
3-18329
Allegation Type
Broker Dealer
Affiliations
- Former: Managing Director; Head of Global Transition Management at ConvergEx Execution Solutions LLC
Violations Alleged
•
Sec 17(a) (Not specified)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
- Bar from participating in any penny stock offering (of unspecified duration)
First Resolution Date
