Defendant Name: Galen J. Marsh

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Galen J. Marsh
First Document Date 08-Jun-2016
Initial Filing Format Administrative Action
File Number 3-17279
Allegation Type Broker Dealer



First Resolution Date

Related Documents:

34-78020 08-Jun-2016 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions

Related Actions:

In the Matter of Morgan Stanley Smith Barney LLC