Nex Systems
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JAMES MICHAEL ROMAN AKA JAMES ROBERT ROMANSKY JR.

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

    11/27/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES MICHAEL ROMAN a/k/a JAMES ROBERT ROMANSKY, JR. (CRD No. 4846101), Respondent. Disciplinary Proceeding No. 20110260294 Hearing Officer-LBB DEFAULT DECISION Date: November 27, 2012 Respondent is barred for failure to provide documents and information, in violation of FINRA Rules 8210 and 2010. No additional sanction is imposed for Respondent's failure to provide prior written notice of one

    Reference 2011026029401finra.orgdata-portal.finra.org

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