Nex Systems
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GLENN MATTHEW CHALEFF

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

    01/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022017301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: The Vertical Trading Group, LLC (a/k/a The Vertical Group) (BD No. 104353) Glenn Matthew Chaleff (CRD 4014721), and Mark McCabe Duncan (CRD 3094678), Respondents Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, The Vertical Trading Group, LLC (the "firm" or "Vertical"), Glenn Chaleff ("Chaleff'), and Mark Duncan

    Reference 2010022017301data-portal.finra.orgfinra.org

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