Suhail Saleem Khan (CRD #3168241) is a former registered broker and investment advisor who was last employed with LPL Financial LLC (CRD #6413) of Chicago, IL. His previous employers include Vision (CRD #47927) and U.S. Financial Investments, Inc. (CRD #120804), also of Chicago. No current employment information is available. He began in the industry in 1999.
Khan was barred by FINRA after he refused to answer a request for information from them. He was barred in all capacities, and from associating with a FINRA member in any capacity, effective 11/17/2017. Khan did not request a termination of his suspension within 3 months, so he was indefinitely barred from the industry, and remains so to this day.
On 5/25/2018, a customer filed a dispute alleging that from 2013 through 2017, Khan made “unsuitable, speculative investments” in his own hedge fund business, as well as one REIT and an oil & gas business. The customer also alleged that some of the investments contained unregistered securities, and has requested damages of $775,000.00. The case is currently listed as “pending.”
Khan has two other disclosures for financial events from 2011 and 2010, both “compromises” that were “satisfied/released.” No additional information is listed.
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