NIELS F ROJAS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/28/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NIELS F. ROJAS (CRD.No. 5558557), Respondent. Disciplinary Proceeding No. 20090166146 Hearing Officer-Andrew H. Perkins DEFAULT DECISION October 28, 2010 Respondent is barred from associating with any FINRA registered firm in any capacity for failing to respond to requests for information, in violation of Procedural Rule 8210 and Conduct Rule 2010. In light of the bar, no further sanctions were
Reference 2009016614601finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5558557

Other names1

Also known as1

NIELS F. ROJAS

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.