ARDIAN HASKO is currently employed as a Broker and/or Investment Adviser at WUNDERLICH SECURITIES, INC. located at 150 East 52nd Street, 2nd & 3rd Floor, New York, NY, 10022.
ARDIAN HASKO has worked at WUNDERLICH SECURITIES, INC. since January 30, 2015
Disclosure History
ARDIAN HASKO has 1 Disclosure Event(s).
Date: November 24, 2014 Category: Employment Separation After Allegations Firm Name: MORGAN STANLEY SMITH BARNEY Termination Type: Discharged Allegations: ALLEGATIONS REGARDING ACCURACY OF "UNSOLICITED" DESIGNATION WITH RESPECT TO CERTAIN TRADES AND REGARDING PROPRIETY OF EMPLOYEE'S TIME AND PRICE DISCRETION IN TWO CLIENT ACCOUNTS; NO CUSTOMER COMPLAINTS HAVE BEEN RECEIVED REGARDING THESE ISSUES. Broker Comment: THERE WERE NO CUSTOMER COMPLAINTS, LOSSES OR ANY HARM TO CUSTOMERS AT ISSUE AND A STAND-ALONE MORGAN STANLEY INTERNAL RULE (E.G. REGARDING SOLICITATION OF TRANSACTIONS BY MORE JUNIOR BROKERS, 3 YEARS OR LESS LENGTH OF EMPLOYMENT, WHEN RESEARCH COVERAGE HAS BEEN DISCONTINUED) DOES NOT RISE TO AN INDUSTRY STANDARD OF CONDUCT. THIS WAS A COMPLETE MISUNDERSTANDING ABOUT FIRM POLICY REGARDING WHEN "SOLICITED" TRADES ARE ALLOWED - NOT INVOLVING ANY CUSTOMER COMPLAINT OR REGULATORY ISSUE.
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