MANUEL ROSE III
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/22/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. MANUEL ROSE III Limited Registered Representative (CRD No. 1424164) Respondent Disciplinary Proceeding No. 2005000760301 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Between in or about June 2000 and in or about January 2005, Manuel Rose III (Rose) was registered with O.N. Equity Sales Company ("Member"), a member of NASD. In or about January 2005, the Member filed a Uniform
12/14/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. MANUEL ROSE III Limited Registered Representative (CRD No. 1424164) Respondent Disciplinary Proceeding No. 2005000760301 Hearing Officer: Sara Nelson Bloom ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Department of Enforcement ("Complainant") filed this disciplinary proceeding on September 22, 2006. Respondent Manuel Rose III ("Respondent" or "Rose") submitted an Offer of Settlement ("Offer") to Complainant on November 15,
Reference 2005000760301data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1424164 |
Other names1
Also known as1
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