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
Affiliations
- Former: Client Service Associate at Morgan Stanley Smith Barney LLC (2011—December 2014)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 5 years
- Bar from participating in any penny stock offering for 5 years
First Resolution Date
