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Regulatory Notice 25-16
Summary
FINRA has amended its Codes of Arbitration Procedure (Codes) to better balance the process for generating the list of public arbitrators sent to the parties in certain customer and industry disputes that have a three-arbitrator panel. In addition, FINRA has made ministerial Code changes to codify certain current practices; establish new timeframes for certain actions; and align provisions of the Codes related to expungement of customer dispute information.
The amendments become effective January 26, 2026.
2024083324501 Robert Galloway CRD 5272436 AWC lp (2025-1766103597493).pdf
Between January 2024 and April 2024, Galloway falsified six expense reports by
claiming he had already incurred expenses when he had not and by doubling the expected
amounts of those expenses. As a result, Galloway violated FINRA Rule 2010. For this
conduct, Galloway is fined $5,000 and suspended for 5 months in all capacities.
24-02670(6).pdf
order to confirm
24-02670(5).pdf
motion to confirm
Pay Transparency
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24-02670(4).pdf
Order to Confirm