Nex Systems
Person

FRANCISCO GALVAN

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/26/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Francisco Galvan, CRD No. 1164780, Respondent. Disciplinary Proceeding No. C01040017 Hearing Officer: AHP ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 26, 2005 INTRODUCTION Disciplinary Proceeding No. C01040017 was filed on June 9, 2004, by the Department of Enforcement of NASD ("Complainant"). Respondent Francisco Galvan submitted an Offer of Settlement ("Offer") to Complainant on September 19, 2005. Pursuant to Code of

    Reference C01040017data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1164780

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