Everything a person might reasonably want to check before accepting a grant from someone, in one place. Where a fact has a primary source, this page points at it rather than asking anyone to take it on trust.
Baseline facts
| Law degree | Bachelor of Civil Law, Cairo University Law School — 1986 |
|---|---|
| Bar admission | 1988 — Supreme Court attorney, with reciprocal admissions in additional jurisdictions |
| Doctorate | Doctor of Philosophy (Ph.D.) in Finance — University of Szeged |
| Prudential Securities | Senior Vice President, Investment Banking — 1994 to 1998 |
| Adamson Brothers | Founder; SEC- and FINRA-registered broker-dealer (CRD #46684) — broker-dealer operations 1998 to 2007, continuing since as a capital markets advisory firm |
| Current practice | Listing advisory and consultancy for companies entering NASDAQ and NYSE; U.S. legal matters handled in co-counsel with U.S.-admitted attorneys |
U.S. securities industry registrations
Mr. Altahawi held an extensive set of FINRA registrations spanning supervisory, principal, and investment banking qualifications from 1994 through his years in the industry. His full registration history is public.
- Series 3 — National Commodity Futures Examination
- Series 4 — Registered Options Principal
- Series 6 — Investment Company and Variable Contracts Products Representative
- Series 7 — General Securities Representative
- Series 24 — General Securities Principal
- Series 55 — Equity Trader
- Series 63 — Uniform Securities Agent State Law
- Series 65 — Uniform Investment Adviser Law
- Series 79 — Investment Banking Representative
The regulatory record
Throughout its operation as a FINRA-registered broker-dealer, Adamson Brothers was never the subject of a customer complaint or a regulatory citation from FINRA or the NASD — a clean record across a decade of multi-office trading, market making, and corporate finance. Mr. Altahawi’s own registered career from 1994 was likewise free of customer complaints. His full regulatory history, including the 2018–2019 SEC Longfin matter resolved by consent without admitting or denying the allegations, is published in full at andyaltahawi.com/record.
That page carries the complete account with the primary sources: what the proceeding alleged, what the consent judgment did and did not say, the precise scope and June 2024 expiry of the two time-limited restrictions it imposed, and Mr. Altahawi’s own statement on why he settled rather than litigated. It is linked from the footer of every page on this site, deliberately.
A four-decade career should be judged in whole — the transactions completed, the clients served, and the standards kept before and since.
Where else the record is published
- andyaltahawi.com/record — the complete record and regulatory history, with primary sources
- andyaltahawi.com — the international advisory and cross-border law practice
- directlylisted.com — the listing advisory practice
Questions
Anything on this page can be asked about directly: info@directlylisted.com, or WhatsApp +1 949-529-2500. A grant-maker that will not answer questions about its founder is not one worth applying to.