Nex Systems
Type not stated

ANTHONY M. GALLO

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/09/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF - 0401150001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: SMH Capital Inc. (BD # 20580) Michael S. Rosen (CRD # 1449872) Jack D. Seibald (CRD # 1245816) Anthony M. Gallo (CRD # 4561693) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, SMH Capital Inc. ("SMH"), Michael S. Rosen ("Rosen"), Jack D. Seibald ("Seibald"), and Anthony M. Gallo ("Gallo") (collectively,

    Reference EAF0401150001data-portal.finra.orgfinra.org

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