Nex Systems
Person

KEITH ADAM ROGERS

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/08/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEITH ADAM ROGERS (CRD No. 4523445), Respondent. Disciplinary Proceeding No. C10050008 Hearing Officer - SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 8, 2005 INTRODUCTION Disciplinary Proceeding No. C10050008 was filed on March 16, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Keith Adam Rogers ("Respondent") submitted

    Reference C10050008finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number4523445

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