RAGHAVAN SATHIANATHAN

02/21/2006: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Raghavan Sathianathan Montclair, NJ, Respondent. DECISION Complaint No. C9B030076 Dated: February 21, 2006 Respondent made unsuitable recommendations to two customers and exercised discretion in a customer account without the customer's written authorization. Held, findings and sanctions affirmed. Appearances For the Complainant: Leo F. Orenstein, Esq., Michael Newman, Esq., Department of

11/08/2006: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 54722 / November 8, 2006 Admin. Proc. File No. 3-12245 In the Matter of the Application of RAGHAVAN SATHIANATHAN c/o S.T. Allen & Co. 336 Bloomfield Avenue Montclair, NJ 07042 For Review of Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDING

Reference C9B030076data-portal.finra.orgfinra.orgdata-portal.finra.org