ROMAN J. SLEDZIEJOWSKI

02/01/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Roman Sledziejowski (CRD No. 3141438) Respondent. DISCIPLINARY PROCEEDING No. 2012033559602 HEARING OFFICER- LBB ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2012033559602 was filed on November 28, 2012 by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant"). Respondent Roman Sledziejowski ("Sledziejowski" or

11/28/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Roman Sledziejowski (CRD No. 3141438) Respondent. DISCIPLINARY PROCEEDING No. 2012033559602 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From approximately June 2009 through August 2012, while associated with TWS Financial, LLC ("TWS" or the "Firm"), Roman Sledziejowski ("Sledziejowski" or "Respondent"), as part of a fraudulent scheme, converted and/or misused funds from at least

Reference 2012033559602data-portal.finra.orgdata-portal.finra.orgfinra.org

12/11/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025806703 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roman J. Sledziejowski, Respondent General Securities Principal CRD No. 3141438 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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 on the condition

Reference 2011025806703data-portal.finra.orgfinra.org