The allegations read: Without admitting or denying the findings, walji consented to the sanctions and to the entry of findings that he did not provide prior written notice to his member firm in such form as specified by the firm before engaging in outside business activities in which he had a reasonable expectation of receiving compensation. The findings stated that walji completed and signed annual attestations that he had advised the firm of all outside business activities, but he failed to disclose some companies. The findings also stated that walji engaged in private securities transactions by selling limited partnership interests in a company to firm customers without providing written notice to or receiving approval from the firm for the transactions. The findings also included that although walji did provide notice to the firm of additional outside business activities, he did not comply with the restrictions that the firm placed on him as conditions for approving the outside business activities.
