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EXPLORE THIS SECTION

2020068865301 Jeffrey K. Galvani CRD 3048728 Stuart A. Jeffrey CRD 5241790 Complaint ks (2025-1758241209618).pdf

Read more about 2020068865301 Jeffrey K. Galvani CRD 3048728 Stuart A. Jeffrey CRD 5241790 Complaint ks (2025-1758241209618).pdf
The Department of Enforcement alleges: Respondents Jeffery K. Galvani and Stuart A. Jeffery failed to appear and provide testimony FINRA requested pursuant to FINRA Rule 8210. As a result, Respondents violated FINRA Rules 8210 and 2010.

25-00957.pdf

Read more about 25-00957.pdf

24-02022.pdf

Read more about 24-02022.pdf

Advertising Regulation

Read more about Advertising Regulation
FINRA's Advertising Regulation Department ensures broker-dealers' communications are fair, balanced and compliant with FINRA, SEC, MSRB and SIPC rules through filing reviews, guidance and outreach programs.

23-00266.pdf

Read more about 23-00266.pdf

23-01565(3).pdf

Read more about 23-01565(3).pdf
Order to Confirm

24-01642.pdf

Read more about 24-01642.pdf

25-00518.pdf

Read more about 25-00518.pdf

24-01293.pdf

Read more about 24-01293.pdf

25-00803.pdf

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