Nex Systems
Type not stated

FRED GALOVICH

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

    10/03/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011027318601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fred Galovich, Respondent Registered Representative CRD No. 217097 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if

    Reference 2011027318601data-portal.finra.orgfinra.org

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