Nex Systems
Person

KEITH MICHAEL ROGERS

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

    09/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041532601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Keith Michael Rogers, Respondent Former Registered Representative CRD No. 4987615 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Keith Michael Rogers ("Rogers" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2014041532601data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4987615

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