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翻訳と辞書　辞書検索 [ 開発暫定版 ] スポンサード リンク Roman Sledziejowski ： ウィキペディア英語版 Roman Sledziejowski Roman J. Sledziejowski (pronounced sleh-jay-YOV-ski) is a Polish-born investment manager widely recognized on Wall Street. After graduating from high school as class valedictorian, he attended Columbia University in New York City.〔Wall Street Journal, September 4, 2001〕 In late 1990s Sledziejowski became one of the youngest licensed stockbrokers on Wall Street. He began his professional career at Salomon Smith Barney as an investment consultant in 1998, where he remained until 2002. From 2002 until 2004 he held the positions of Vice President and First Vice President for Prudential Financial, Inc. From 2004 until 2006, Sledziejowski served as a Senior Vice President of Investments and Firm's Investment Officer at Wachovia Securities. In 2006 he became the Chief Executive Officer of Innovest Holdings, a New York City–based financial services holding company with several subsidiary entities. Among them was an SEC registered Broker/Dealer catering mostly to Latin American Financial Market, TWS Financial, LLC. On November 28, 2012 The Financial Industry Regulatory Authority (FINRA) announced that it had filed a complaint against Sledziejowski, alleging his defalcating funds of three customers in the amount of more than $4 million through an alleged scheme, carried on primarily outside the securities firm TWS Financial, LLC. Allegations involved converting client funds to the use of an entity under his control for the purpose of acquiring control over an FDIC registered PNA Bank headquartered in Chicago, IL while allegedly providing inaccurate account reports to three of his customers who were Sledziejowski's long time business partners and investors in the planned acquisition. Sledziejowski and his firm TWS Financial catered primarily to international investors. Sledziejowski denied all allegations made by FINRA. TWS Financial, LLC. had several thousand clients and few hundred million dollars under management. On February 1, 2013, Sledziejowski entered into a settlement with FINRA, without admitting to any allegations in the complaint filed by FINRA. As part of the settlement, he did agree to permanently not associate with FINRA member firms. According to publicly available court records, Roman Sledziejowski denied all civil allegations made by several of his former clients and business partners. Litigations are proceeding under the auspices of Judge Sean Lane in Southern District of New York. Judge Sean Lane presided over the bankruptcy of American Airlines and its merger with US Airways in 2013. == References == 抄文引用元・出典: フリー百科事典『 ウィキペディア（Wikipedia）』 ■ウィキペディアで「Roman Sledziejowski」の詳細全文を読む スポンサード リンク 翻訳と辞書 : 翻訳のためのインターネットリソース Copyright(C) kotoba.ne.jp 1997-2016. All Rights Reserved.