Nex Systems
Person

ANTHONY MICHAEL RODMAN

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

    04/20/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2005001663701 TO: Department of Enforcement NASD RE: Anthony Michael Rodman, Respondent General Securities Representative CRD No. 1079010 Pursuant to Rule 9216 of NASD Code of Procedure, Anthony Michael Rodman ("Rodman" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in

    Reference 2005001663701data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1079010

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