Nex Systems
Person

MARYANN GEHRINGER ROEGLIN

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/23/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. MARYANN ROEGLIN Registered Representative (CRD No. 2126129) Respondent Disciplinary Proceeding No. E8A20040613-01 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Between in or about June 2002 and in or about March 2004, Maryann Roeglin ("Roeglin") was associated with Ferris, Baker, Watts, Inc. ("Member"), a member of NASD. In or about April 2004, the Member filed a Uniform Termination Notice

    Reference E8A2004061301data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2126129

Other names1

Also known as1

MARYANN ROEGLIN

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