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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Tag Archives: E1 Asset Management
E1 Stockbroker Sanctioned By FINRA For Unauthorized Trading
May 13, 2020 | Posted by : Guiliano Law Group | Unauthorized Trading | Comments Off on E1 Stockbroker Sanctioned By FINRA For Unauthorized Trading
E1 Asset Management Fined For Excessive Trading
August 17, 2015 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Unsuitable Investment Recommendations | 0 Comments
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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