Nex Systems
Person

Benjamin Galloway

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/25/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057940601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Benjamin Galloway, Respondent CRD No. 6106670 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Benjamin Galloway ("Galloway" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

    Reference 2018057940601data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number6106670

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.