Tag Archives: E1 Asset Management

E1 Stockbroker Sanctioned By FINRA For Unauthorized Trading

May 13, 2020  |   Posted by :   |   Unauthorized Trading   |   Comments Off on E1 Stockbroker Sanctioned By FINRA For Unauthorized Trading

Brian Joseph Harte of Alexandria Virginia a stockbroker currently registered with E1 Asset Management Inc. has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that unauthorized transactions were effected by him in the account of E1 customers. Letter of Acceptance Waiver and Consent No. 2018059689101 […]

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E1 Asset Management Fined For Excessive Trading

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 […]

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