James Andrew Gallego
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/27/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062736301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Andrew Gallego, Respondent Registered Representative CRD No. 6226068 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, James Andrew Gallego ("Gallego"), submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019062736301finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6226068 |
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