ELIAS E. ASHOOH

06/13/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ELIAS E. ASHOOH (CRD No. 867625), Respondent. Disciplinary Proceeding No. 2005000923801 DEFAULT DECISION Hearing Officer - SW Date: June 13, 2006 Respondent is barred from associating with any member firm in any capacity for: (i) violating NASD Conduct Rules 2370 and 2110 by borrowing customer funds; and (ii) violating NASD Conduct Rule 2110 by attempting to borrow customer funds, in violation of his employer's express

12/14/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Elias E. Ashooh (CRD No. 867625) Respondent. Disciplinary Proceeding No. 2005000923801 Hearing Officer - Date: December 14, 2005 COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Elias E. Ashooh ("Ashooh") first became registered with the NASD in 1979 as a general securities representative. He was registered with Linsco / Private Ledger Corp. ("LPL") (BD No. 6413) in that capacity from approximately

Reference 2005000923801data-portal.finra.orgdata-portal.finra.orgfinra.org