NOTE: Stipulations of Fact and Consent to Penalty (SFC); Offers of Settlement (OS); and Letters of Acceptance Waiver, and Consent (AWC) are entered into by Respondents without admitting or denying the allegations, but consent is given to the described sanctions & to the entry of findings. Additionally, for AWCs, if FINRA has reason to believe a violation has occurred and the member or associated person does not dispute the violation, FINRA may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a hearing panel, and any right of appeal to the National Adjudicatory Council, the SEC, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. The letter shall describe the act or practice engaged in or omitted, the rule, regulation, or statutory provision violated, and the sanction or sanctions to be imposed.

Noor Siraj Amirali
AWC/2008014608801

Amirali placed customer initials and signatures, and inserted dates on account documents for customers, without the customers’ prior knowledge or authorization. Amirali submitted the altered documents to his member firm as authentic. Although the customers approved the various actions, the customers did not authorize Amirali to sign their initials or signatures, insert dates or alter the documents, and, by conducting these acts, Amirali caused his member firm’s books and records to be inaccurate.

Noor Siraj Amirali: Fined $5,000; Suspended 3 months