Nex Systems
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Frederick Wesley Roehm

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

    07/26/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Frederick Wesley Roehm (CRD No. 2340397), Respondent. DISCIPLINARY PROCEEDING No. 2014041233001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Frederick Wesley Roehm ("Roehm" or "Respondent") willfully failed to disclose a written customer complaint by amending his Uniform Application for Securities Industry Registration ("Form U4"), in violation of Article V,

    10/30/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Frederick Wesley Roehm (CRD No. 2340397), Respondent. DISCIPLINARY PROCEEDING NO. 2014041233001 Hearing Officer: KBW ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 30, 2017 INTRODUCTION Disciplinary Proceeding No. 2014041233001 was filed on July 26, 2017, by the Department of Enforcement of the

    Reference 2014041233001data-portal.finra.orgfinra.orgdata-portal.finra.org

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