ROGER D. FLEMING

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/30/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROGER D. FLEMING (CRD No. 1102431), Respondent. Disciplinary Proceeding No. 2006006603701 Hearing Officer - Sara Nelson Bloom DEFAULT DECISION September 30, 2008 Respondent is barred from associating with any FINRA member in any capacity for failing to provide requested information, in violation of Rules 8210 and 2110,
Reference 2006006603701finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1102431

Other names1

Also known as1

ROGER DENNIS FLEMING

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