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March 21, 2012

Davie, Florida, Brokerage and Broker Fined and Suspended by FINRA

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, March, 2012.”

Council (NAC) imposed the sanctions following appeal of an Office of Hearing Officers (OHO) decision. The sanctions were based on findings that Beloyan, acting on the firm’s behalf, drafted and distributed emails in which he recommended the purchase of securities, and those recommendations were unbalanced, misleading, included material misrepresentations and omitted material facts.

The findings stated that Beloyan and the firm failed to review one of the companies’ current financial statements before recommending the purchase of its stock in emails.

The suspension was in effect from February 27, 2012, through March 9, 2012.

(FINRA Case #2005001988201)

The information from FINRA’s website has ended.

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