Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions January 2018.”
Masood Husain Azad (CRD #4798445, Houston, Texas)
was barred by FINRA for allegedly failing to provide FINRA-requested documents and information in connection with its investigation into allegations of misconduct by him while associated with his former member firm.
FINRA’s findings stated that the allegations included that Azad participated in an unapproved private securities transaction by soliciting investments and/or directly investing in an electronic data security company, and engaged in outside business activities involving the company, without obtaining authorization from the firm.
(FINRA Case #2017054623301)
FINRA has barred Masood Husain Azad from acting as a broker or otherwise associating with a broker-dealer firm.
According to FINRA’s BrokerCheck, Masood Husain Azad, has 2 Disclosures on his report. Along with the regulatory action in which he was barred, there is an, ‘Employment Separation after Allegations” from First Allied Securities in League City, Texas. Azad was discharged after he allegedly, “violated firm policy relating to borrowing money from clients, engaging in an unapproved private securities transaction and outside business activity.
Masood Husain Azad was in the securities industry for 12 years and was listed with the following 2 firms:
01/29/2015 - 06/15/2017 FIRST ALLIED SECURITIES INC - LEAGUE CITY, TX
08/20/2004 - 01/29/2015 VOYA FINANCIAL ADVISORS INC - LEAGUE CITY, TX
If you were a client of Masood Husain Azad formerly with First Allied Securities of League, Texas, and you experienced financial losses due to his actions or recommendations, call Soreide Law Group for a no-cost consultation with an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA. We operate on a contingency fee basis, no fee if no recovery. Let our years of experience work for you.
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
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