Fuad Ahmed

04/11/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Success Trade Securities, Inc. (CRD No. 46027), and Fuad Ahmed (CRD No. 2404244), Respondents. DISCIPLINARY PROCEEDING No. 2012034211301 TEMPORARY CEASE AND DESIST CONSENT ORDER Based upon the parties' agreement, the Hearing Panel issues this Temporary Cease and Desist Consent Order ("Order") pursuant to FINRA Rule 9840. It is understood and agreed by all of the undersigned parties

09/25/2015: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Fuad Ahmed, Washington, DC, and Success Trade Securities, Inc., Washington, DC, Respondents. DECISION Complaint No. 2012034211301 Dated: September 25, 2015 Respondents willfully engaged in securities fraud and sold unregistered securities without the benefit of an exemption. Held, findings affirmed, in relevant part, and sanctions modified.

09/29/2017: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 81759 / September 28, 2017 Admin. Proc. File No. 3-16900 In the Matter of the Application of FUAD AHMED and SUCCESS TRADE SECURITIES, INC. For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDINGS Fraud Unregistered Offer and Sale of Securities

06/25/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SUCCESS TRADE SECURITIES, INC. (CRD No. 46027), and FUAD AHMED (CRD No. 2404244), Respondents. Disciplinary Proceeding No. 2012034211301 Hearing Officer--LOM HEARING PANEL DECISION Respondents, Success Trade Securities, Inc., a broker-dealer, and Fuad Ahmed, its president, committed securities fraud in willful violation of Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5,

04/10/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Success Trade Securities, Inc. (CRD No. 46027), and Fuad Ahmed (CRD No. 2404244), Respondents. COMPLAINT AND REQUEST FOR EXPEDITED HEARING The Department of Enforcement alleges: SUMMARY 1. This matter concerns securities fraud perpetrated by Respondents Success Trade Securities, Inc. ("STS" or "Firm") and Fuad Ahmed ("Ahmed"), STS's CEO and President. From March 2009 through at least February 2013,

Reference 2012034211301data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org

02/22/2012: LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016309801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Success Trade Securities, Inc., Respondent (46027) Fuad Ahmed (CRD #2404244) Pursuant to Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not

Reference 2009016309801data-portal.finra.orgfinra.org