Nex Systems
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EVAN SETH ROSENFELD

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

    02/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. EVAN SETH ROSENFELD (CRD No. 2788398), Respondent. Disciplinary Proceeding No. 2008015395601 Hearing Officer MAD AMENDED ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 16, 2011 INTRODUCTION Disciplinary Proceeding No. 2008015395601 was filed on July 21, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Evan Seth Rosenfeld

    07/21/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. EVAN SETH ROSENFELD (CRD No. 2788398), Respondent. DISCIPLINARY PROCEEDING No. 2008015395601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On August 6, 2008, while registered through Whitaker Securities, LLC (BD# 121465), Respondent Rosenfeld executed or caused to be executed three unauthorized day trades in the account of a customer, B.M., resulting in losses of approximately

    Reference 2008015395601data-portal.finra.orgdata-portal.finra.orgfinra.org

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