2019062736301 James Andrew Gallego CRD 6226068 AWC va (2020-1590884368522).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062736301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Andrew Gallego, Respondent Registered Representative CRD No. 6226068 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, James Andrew Gallego ("Gallego"), submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
SR-FINRA-2020-013
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to add industry member compliance rules relating to the Consolidated Audit Trail (“CAT”) to FINRA’s Minor Rule Violation Plan (“MRVP”).