ANDRE R. ROMAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/12/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANDRE R. ROMAN (CRD No. 4703018), Respondent. Disciplinary Proceeding No. 2006007102001 DEFAULT DECISION Hearing Officer - SNB May 12, 2008 For failing to provide requested information, in violation of Rules 8210 and 2110, Respondent is barred from associating with any FINRA member in any capacity. In light of the bar, no further sanctions are imposed for falsifying a customer's signature, in
Reference 2006007102001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4703018

Other names1

Also known as1

ANDRE RYAN ROMAN

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