JAMES JOSEPH ROVEZZI
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/15/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. JAMES JOSEPH ROVEZZI (CRD No. 1341098) Respondent. Disciplinary Proceeding No. C07040088 Hearing Officer - DMF DEFAULT DECISION March 15, 2005 Respondent (1) failed to provide prompt written notice to his employer of outside business activities, in violation of Rules 3030 and 2110, and (2) sold certain investments in violation of his employer's policies and lied to his employer about his activities, in violation
Reference C007040088finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/15/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. JAMES JOSEPH ROVEZZI (CRD No. 1341098) Respondent. Disciplinary Proceeding No. C07040088 Hearing Officer-DMF DEFAULT DECISION March 15, 2005 Respondent (1) failed to provide prompt written notice to his employer of outside business activities, in violation of Rules 3030 and 2110, and (2) sold certain investments in violation of his employer's policies and lied to his employer about his activities, in violation of Rule 2110.
Reference C07040088data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1341098 |
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