RICHARD L. ROSEN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/25/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RICHARD L. ROSEN (CRD No. 1643922), Respondent. Disciplinary Proceeding No. E102002179201 Hearing Officer - DRP DEFAULT DECISION August 25, 2006 Respondent is barred from associating with any NASD member firm in any capacity for violating NASD Conduct Rule 2110 by selling unregistered securities in violation of Section 5 of the Securities Act of 1933. In light of the bar, no additional sanctions are imposed for: (i) membership
Reference E102002179201finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1643922

Other names1

Also known as1

RICHARD LEWIS ROSEN

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