AFIZ SADRUDIN HUDANI
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/13/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AFIZ SADRUDIN HUDANI (CRD No. 2685460), Respondent. Disciplinary Proceeding No. 2008012361801 Hearing Officer-Andrew H. Perkins DEFAULT DECISION May 13, 2010 Respondent is barred from associating with any member firm in any capacity for (1) misappropriating customer funds, in violation of NASD Conduct Rule 2110; (2) effecting unauthorized transactions relating to customers' insurance policies, in
01/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Aflz Sadrudin Hudani (CRD No. 2685460), Respondent. DISCIPLINARY PROCEEDING No. 2008012361801 The Department of Enforcement alleges: COMPLAINT SUMMARY 1. From between June 2002 through February 2008, Respondent misappropriated customer funds and/or effected unauthorized transfers of funds from insurance customers in violation of Rule 2110. 2. Respondent also failed to appear for on-the-record
Reference 2008012361801data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2685460 |
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