IFTIKHAR UL HAQ

11/01/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. IFTIKHAR UL HAQ (CRD No. 4212059), Respondent. Disciplinary Proceeding No. ELI2004026701 Hearing Officer-AWH HEARING PANEL DECISION November 1, 2007 Registered representative barred from associating with any member firm in any capacity and ordered to make restitution to customer for unauthorized and excessive trading in customer's account, in violation of NASD Conduct Rules 2310 and 2110. Respondent

11/30/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. IFTIKHAR UL HAQ (CRD No. 4212059), Respondent. Disciplinary Proceeding No. ELI2004026701 Hearing Officer - COMPLAINT The Department of Enforcement alleges: JURISDICTION 1. Respondent Iftikhar Ul Haq ("Respondent") first became registered with NASD, as a General Securities Representative ("GSR"), on approximately September 8, 2000. 2. Respondent was registered with GunnAllen Financial, Inc. ("GunnAllen") from on or about October 21,

04/06/2009: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Iftikhar Ul Haq Toms River, NJ, Respondent DECISION Complaint No, EI22004026701 April 6, 2009 Respondent engaged in unauthorized transactions and unsuitable excessive trading in one customer's account. Held, findings and sanctions affirmed. Appearances For the Complainant: Samuel L. Barkin, Esq., and Leo F. Orenstein, Esq., Department of Enforcement, Financial

Reference ELI2004026701data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org