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24-01880(2).pdf
Amended
2025086670901 Roger Roemmich CRD 1293322 AWC ks.pdf
In January 2026, after providing an initial response, Roemmich stated he would no longer
provide documents or information to FINRA in response to a written request made
pursuant to FINRA Rule 8210. As a result, Roemmich violated FINRA Rules 8210 and
2010 and is barred from associating with any FINRA member firm in all capacities.
24-02162(2).pdf
Order for Confirm
Regulatory Notice 26-08
The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s assessment is based on its portion of the total par value of municipal securities transactions reported by all FINRA member firms to the MSRB during the previous quarter.
2024081184401 Joshua Ethan Scholnick CRD 7720831 Order Accepting Offer of Settlement vrp.pdf
On August 25, 2023, while associated with a FINRA member, Joshua Scholnick cheated on the Securities Industry Essentials (SIE) examination. During the examination, which Scholnick took from his home, he used his phone to access prohibited study materials to help him answer the test’s questions. He did so after acknowledging and agreeing to follow FINRA’s
SIE Rules of Conduct, which forbid possessing or using phones, notes, and study materials during the examination.