Nex Systems
Person

Lance Roman Armstrong

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/12/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061580601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lance Roman Armstrong, Respondent Former General Securities Representative CRD No. 4592423 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Lance Roman Armstrong submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019061580601data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4592423

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.