JOHN ROM

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/28/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035729601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Rom, Respondent Registered Representative CRD No. 5508431 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, John Rom, submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted
Reference 2013035729601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5508431

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