FINRA then opened its own investigation into Salim and sent him requests for documents and information.  FINRA alleged that he ceased responding to the investigation and refused to appear for on-the-record testimony.  As such, pursuant to FINRA Rule 8210, FINRA barred this advisor from the securities industry.

Mohammed Salim’s Record

From November 2022 to October 2024, Mohammed Salim had been a representative of Morgan Stanley.  He was assigned to a New York, New York office.  Salim was also registered with Charles Schwab from November 2021 to November 2022, and with Merrill Lynch from May 2019 to October 2021. 

Who is Responsible for Supervising this Advisor?

Brokerage firms have obligations to reasonably supervise the conduct of their financial advisors.  If the brokerage firm fails to adequately do so, it could be held responsible for any investor losses.

New York Securities Attorney

Israels & Neuman represents investors throughout the country, including in New York and the greater New York City metropolitan area.  If you were a client of Mohammed Salim and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Mohammed Salim FINRA AWC
• View his BrokerCheck Report

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