FINRA

Without admitting or denying the findings, Rozzi consented to the sanction and to the entry of findings that he willfully failed to amend his Form U4 to disclose a $14,789 civil judgment entered against him that remains unsatisfied. The findings stated that in addition, Rozzi falsely represented that he did not have any outstanding judgments against him in response to a FINRA personal activity questionnaire that his member firm asked him to complete, which it then submitted to FINRA in connection with a sales practice examination of the firm. The findings also stated that Rozzi submitted false written responses to FINRA about the civil judgment.

Acceptance, Waiver & Consent(AWC)

Bar (Permanent)

All capacities

Indefinite

6/13/2019

Respondent understands that this settlement includes a finding that he willfully omitted to state a material fact on a Form U4, and that under Section 3(a)(39)(F) of the Securities Exchange Act of 1934 and Article III, Section 4 of FINRA's By-Laws, this omission makes Respondent subject to a statutory disqualification with respect to association with a member.