Nex Systems
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Douglas J. Rosenberg

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

    12/01/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063821605 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Douglas J. Rosenberg (Respondent) General Securities Representative CRD No. 3214215 Pursuant to FINRA Rule 9216, Respondent Douglas J. Rosenberg submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019063821605data-portal.finra.orgfinra.org

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