STUART A JEFFERY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/18/2025: Respondents Jeffrey K. Galvani and Stuart A. Jeffery failed to provide testimony requested pursuant to FINRA Rule 8210, thereby violating FINRA Rules 8210 and 2010. For this misconduct, each Respondent is barred from associating with any FINRA member firm in any capacity.
Reference 2020068865301finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5241790

Other names1

Also known as1

STUART A. JEFFERY

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