JEFFREY KENNETH GALVANI
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/19/2025: The Department of Enforcement alleges: Respondents Jeffery K. Galvani and Stuart A. Jeffery failed to appear and provide testimony FINRA requested pursuant to FINRA Rule 8210. As a result, Respondents violated FINRA Rules 8210 and 2010.
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 2020068865301data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3048728 |
Other names1
Also known as1
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