Nex Systems
Type not stated

JEROME LOUIS GALANT

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

    05/15/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E062004003003 TO: Department of Enforcement NASD RE: Jerome Louis Galant CRD No. 4771234 Pursuant to Rule 9216 of the NASD Code of Procedure, I, Jerome Louis Galant ("Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if

    Reference E062004003003data-portal.finra.orgfinra.org

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