Proceeding Number 2006006705601

Hearing Panel Decision in Department of Enforcement v. John M. E. Saad

August 19, 2008

Respondent is barred in all capacities from associating with any FINRA member for converting the funds of his employer, in violation of NASD Conduct Rule 2110.

 

This decision has been appealed.

View Decision (PDF 33 KB)