Michael Nicholas Romano
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/29/2015: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 76011 / September 29, 2015 Admin. Proc. File No. 3-15978 In the Matter of the Application of MICHAEL NICHOLAS ROMANO For Review of Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDINGS Registered securities association barred associated person in expedited proceeding based on failure to respond to inforniation requests after denying motion
Reference 2014040111901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2357611 |
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