MICHAEL GERARD ROGAN is currently employed as a Broker and/or Investment Adviser at ROGAN & ASSOCIATES, INC. located at 200 9TH AVENUE NORTH, SUITE 100, SAFETY HARBOR, FL, 34695.
MICHAEL GERARD ROGAN has worked at ROGAN & ASSOCIATES, INC. since April 28, 1997
Disclosure History
MICHAEL GERARD ROGAN has 2 Disclosure Event(s).
Date: May 08, 2002 Category: Regulatory
Date: September 07, 1999 Category: Regulatory Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Allegations: RESPONDENT MEMBER, ACTING THROUGH ROGAN: FILED A QUARTERLY FOCUS IIA REPORT SEVENTEEN DAYS LATE IN VIOLATION OF SEC RULE 17A-5 AND NASD RULE 2110. Resolution: Acceptance, Waiver & Consent(AWC) SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $1,000.00 Sanction Details: $1,000.00 FINE, J&S Broker Comment: ADS AND ROGAN ACCEPTED AND CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGED VIOLATIONS, TO THE ENTRY OF THE FINDINGS BY NASD REGULATION INC.
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