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Articles Posted in E1 Asset Management

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Client Represented by Lax & Neville LLP Wins $2.6MM Award Against E1 Asset Management, Inc., Shaun Joseph Grimaldi, and Ron Yehuda Itin

On April 3, 2024, Lax & Neville LLP won a FINRA arbitration award on behalf of a 75-year-old retiree (“Claimant”) against E1 Asset Management, Inc., Shaun Joseph Grimaldi, and Ron Yehuda Itin (“Respondents”).  Respondents, who all have checkered regulatory histories, capitalized on Claimant’s trust and friendship for a decade to…

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FINRA Fines E1 Asset Management $25,000 And Suspends Ron Itin and Ahsan Shaikah For Supervisory Failures

On June 5, 2015, E1 Asset Management, Inc. (“E1 Asset Management”), Ron Y. itin (“Itin”), and Ahsan R. Shaikh (“Shaikh”) submitted a Letter of Acceptance Waiver and Consent (“AWC”) to settle allegations by the Financial Industry Regulatory Authority (“FINRA”) that they collectively failed to maintain a reasonable supervisory system at…

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