Nex Systems
Type not stated

DONALD L. ROSEEN

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/06/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. DONALD L. ROSEEN, Registered Representative (CRD No. 3184246) Respondent. Disciplinary Proceeding No. C8A040068 Hearing Officer Andrew H. Perkins ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 6, 2005 INTRODUCTION Disciplinary Proceeding No. C8A040068 was filed on July 22, 2004, by the Department of Enforcement of NASD ("Complainant"). Respondent

    Reference C8A040068data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.