Nex Systems
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AL J. ROMANI

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

    05/09/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080116840 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Al J. Romani CRD No. 5000071 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Al J. Romani ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. The AWC is submitted on the condition that, if accepted, FINRA

    Reference 2008011684004data-portal.finra.orgfinra.org

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