DANIEL JAMES GALLAGHER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/12/2012: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Daniel James Gallagher Port Washington, NY, Respondent. DECISION Complaint No. 2008011701203 Dated: December 12, 2012 Respondent acted as an unregistered principal, refused to respond to questions during on-the-record testimony, willfully failed to amend his Form U4, circumvented heightened supervision requirements, failed to adopt a supervisory control system, and
06/13/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL JAMES GALLAGHER (CRD No.2092711) and VISION SECURITIES INC. (CRD No. 35001), Respondents. Disciplinary Proceeding No. 2008011701203 Hearing Officer - RSH HEARING PANEL DECISION and June 13, 2011 Respondent Gallagher was barred for violating: (1) Rules 8210 and 2010 by failing to answer questions during two OTRs; (2) Rules 1021(a) and 2110 by acting as an unregistered principal; and (3) Rule
Reference 2008011701203data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2092711

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