Nex Systems
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Jeremiah Roman

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

    07/18/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072968801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeremiah Roman (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6321876 Pursuant to FINRA Rule 9216, Respondent Jeremiah Roman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2021072968801data-portal.finra.orgfinra.org

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