ARA PROUDIAN

09/07/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. ARA PROUDIAN (CRD No. 2488729), Respondent. Disciplinary Proceeding No. CMS040165 Hearing Panel Decision Hearing Officer-SNB September 7, 2006 Respondent aided and abetted market manipulation, in violation of Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5 thereunder, and NASD Rules 2110 and 2120. For this violation, Respondent is suspended

08/07/2008: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY 1 In the Matter of Market Regulation, Complainant, vs. Ara Proudian New Rochelle, NY, Respondent. DECISION Complaint No. CMS040165 Dated: August 7, 2008 Registered representative aided and abetted a market manipulation. Held, Hearing Panel's findings affirmed. Sanctions modified and increased consistent with the findings set forth herein. Appearances For the Complainant: Laurie A. Doherty, Esq., Department of

Reference CMS040165data-portal.finra.orgdata-portal.finra.orgfinra.org

07/31/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. ARA PROUDIAN (CRD No. 2488729), RESPONDENT. DISCIPLINARY PROCEEDING NO. 2006003684701 Hearing Officer AHP ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 31, 2008 INTRODUCTION Disciplinary Proceeding No. 2006003684701 was filed on June 30, 2008, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA"). ("Complainant"). Respondent Ara Proudian ("Respondent")

Reference 2006003684701data-portal.finra.orgfinra.org