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.
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.
23-01565(3).pdf
Order to Confirm