ALEX AMNER BORUKHOV

08/31/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALEX AMNER BORUKHOV (CRD No. 4389429), Respondent. Disciplinary Proceeding No. 2008012444301 Hearing Officer-Sara Nelson Bloom DEFAULT DECISION August 31, 2009 Respondent failed to timely disclose on his Form U4 that he had been charged with a felony and willfully failed to disclose on his Form U4 that he was a respondent in an arbitration claim involving allegations of unsuitable trading in a

04/14/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. ALEX AMNER BORUKHOV (CRD No. 4389429), RESPONDENT. DISCIPLINARY PROCEEDING NO. 2008012444301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or about October 2007 through in or about January 2008, while registered with FINRA through a member firm, Borukhov engaged in a pattern of trading activity in two customer accounts of RM that was excessive in light of the customer's

Reference 2008012444301data-portal.finra.orgfinra.orgdata-portal.finra.org