Nex Systems
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DON M. ROMAN

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

    06/14/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006777802 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Don M. Roman (CRD No. 1713951) General Securities Representative Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Don M Roman, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2006006777802finra.orgdata-portal.finra.org

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