Nex Systems
Type not stated

John Isaac Roach

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

    09/13/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040641902 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: John Isaac Roach, Respondent Former Registered Representative CRD No. 4226769

    Reference 2014040641902data-portal.finra.orgfinra.org

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