Nex Systems
Person

MICHAEL ROZENBAUM

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

    12/21/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016742001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael Rozenbaum ("Rozenbaum"), Respondent Registered Representative CRD No. 5366210 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

    Reference 2009016742001data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5366210

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