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SEC Issues Order Involving John M.E. Saad
August 23, 2019
WASHINGTON, Aug. 23 -- The Securities and Exchange Commission issued the following order (Admin. Proc. File No. 3-13678r) involving John M.E. Saad:

In the Matter of the Application of JOHN M.E. SAAD

For Review of Disciplinary Action Taken by FINRA

OPINION OF THE COMMISSION

REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDING

Court of appeals remanded matter to the Commission after Commission sustained FINRA discip . . .

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