Nex Systems
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GALEN M. SHOFF

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

    04/16/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015323501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Galen M. Shoff, Respondent Investment Company and Variable Contracts Products Principal CRD No. 2990948 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

    Reference 2008015323501data-portal.finra.orgfinra.org

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