ADAM CHAMROEURN HENG

05/16/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ADAM HENG, (CRD No. 2831137)Respondent. Disciplinary Proceeding No. E0720040511 Hearing Officer - COMPLAINT Upon information and belief, Complainant alleges as follows: RESPONDENT 1. Respondent Adam Heng ("Heng") was first registered as a general securities representative when he entered the securities industry in September 1997. He was employed by Clark Street Capital, Inc. ("CSC") from November 2003 until July 2004. Heng was last

09/27/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ADAM HENG (CRD No. 2831137), Respondent. Disciplinary Proceeding No. E072004051101 DEFAULT DECISION Hearing Officer - SW Dated: September 27, 2006 Respondent was barred from associating with any NASD member firm in any capacity for violating Section 10(b) of the Securities Exchange Act of 1934, SEC Rule 10b-5 thereunder, and NASD Conduct Rules 2120 and 2110, by executing 72 unauthorized transactions in the accounts of four

Reference E072004051101data-portal.finra.orgfinra.orgdata-portal.finra.org