Nex Systems
Type not stated

Benjamin Rosamond

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

    01/14/2025: Between October 2020 and July 2023, while registered with FINRA through an association with Robinhood Financial and Robinhood Securities (collectively, Robinhood), Rosamond engaged in an outside business activity involving an investment club formed as a limited liability company without providing prior written notice to Robinhood, in violation of FINRA Rules 3270 and 2010. Additionally, in connection with the outside business activity, Rosamond traded securities on behalf of the company, without providing prior written notice to Robinhood, in violation of FINRA Rules 3280 and 2010.

    Reference 2023078321201data-portal.finra.orgfinra.org

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