JOSHUA ALBERT GALIANI
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/31/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOSHUA ALBERT GALIANA(CRD No. 2864225), Respondent. Disciplinary Proceeding No. 2009017619001 Hearing Officer-LBB DEFAULT DECISION May 31, 2011 Respondent Joshua Albert Galiani is barred from associating with any FINRA member firm in any capacity for making false representations, creating fictitious account summaries, and providing the fictitious summaries
02/03/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Joshua Albert Galiani (CRD No. 2864225), Respondent. DISCIPLINARY PROCEEDING NO. 2009017619001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1, Joshua Albert Galiani (Galiani) prepared fictitious account documents and provided them to an elderly customer to hide the substantial losses in that customer's account
Reference 2009017619001data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2864225 |
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