Ron Yehuda Itin of Jersey City, New Jersey, the President and Chief Compliance Officer of E1 Asset Management Inc., has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in certain principal capacities based upon allegations that Itin failed to supervise certain registered representatives. Letter of Acceptance, Waiver, and…
E1 Asset Management, Inc., a FINRA member broker/dealer since 1999 headquartered in Jersey City, NJ, operates as an introducing broker-dealer via 14 registered reps and 3 branch offices. The Firm, along with their general securities principals Ron Y. Itin and Ahsan R. Shaikh, were censured and fined by FINRA in connection with supervisory deficiencies consisting…