Sathianathan, Raghavan
Raghavan Sathianathan (CRD # 1743692, Registered Representative, Montclair, New Jersey) was barred from association with any FINRA member in any capacity. The U.S. Court of Appeals denied Sathianathan’s petition for review.The SEC sustained the sanctions the NAC imposed following appeal of an OHO decision. The sanctions were based on findings that Sathianathan recommended and effected securities transactions for customers that were not suitable in light of their financial situations, investment objectives, circumstances and needs. The findings stated that Sathianathan exercised discretion in a customer’s account without the customer’s prior written authorization and his member firm’s acceptance of the account as discretionary.

