Nex Systems
Person

THOMAS MARTIN ROSEN

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

    05/15/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20110305780-01 TO: Office of Fraud Detection and Market Intelligence Financial Industry Regulatory Authority ("FINRA") RE: Thomas Martin Rosen, Respondent CRD No. 3004374 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Thomas Martin Rosen ("Rosen" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2011030578001data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number3004374

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