The allegations read: Without admitting or denying the findings, basralian consented to the sanction and to the entry of findings that he failed to provide documents and information as requested by finra in connection with an investigation into, among other things, the circumstances of basralian's resignation from his member firm. The findings stated that the firm had filed a form u5 terminating basralian's registrations and reporting that he "resigned after customer allegation of fraud and breach of contract related to investments away from the firm."
