JOHN C. ROMANOFF
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/30/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN C. ROMANOFF (CRD No. 3097147), Respondent. Disciplinary Proceeding No. 2008014858101 Hearing Officer-Andrew H. Perkins DEFAULT DECISION August 30, 2010 Respondent is barred from associating with any FINRA registered firm in any capacity for borrowing money from customers, in violation of NASD Conduct Rules 2370 and 2110; and for failing to respond to requests for information, in violation of
Reference 2008014858101finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3097147 |
Other names1
Also known as1
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.