The Ontario Securities Commission (OSC) has announced criminal charges against a former securities rep accused of falsifying her employment record in order to secure registration at a new firm.
The OSC said Monday that Zahra Pourebrahimi Khalkhali has been charged with one count of forgery and one count of falsifying an employment record.
The regulator alleges that she forged her National Registration Database (NRD) employment record to show that she had resigned from her previous job at a securities firm, when in fact she was dismissed for cause after allegedly forging a client signature on a mortgage document. The OSC also alleges that she uttered the falsified record when applying for employment at the firm.
The allegations have not been proven. The first court appearance in the case is scheduled for Dec. 17 at the Ontario Court of Justice in Newmarket, Ont.
The charges follow an investigation by the OSC’s new Joint Serious Offences Team (JSOT), which was established in partnership with the RCMP Financial Crime program.
“This individual’s actions were clearly aimed at deceiving a prospective employer,” said Tom Atkinson, director of enforcement at the OSC. “We uncovered this deception and will continue to work through the Joint Serious Offences Team to protect investors, by bringing criminal charges as appropriate.”