(CRD #3048728, Hoboken, New Jersey) & (CRD #5241790, Rockville Centre, New York)

August 19, 2025 – Galvani and Jeffrey were named as respondents in a FINRA complaint alleging that they failed to appear for and provide on-the-record testimony requested by FINRA in connection with its investigation of among other things, their OBAs and private securities transactions. The complaint alleges that FINRA’s investigation concerns Galvani and Jeffrey’s roles with outside entities that provided services to customers who traded low-priced securities, often known as penny stocks, and their disclosures of the activities to their member firm. Galvani and Jeffrey’s failure to appear for testimony significantly impeded FINRA’s investigation. (FINRA Case #2020068865301) If you have suffered losses as a result of Galvani and Jeffrey's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Galvani and Jeffrey. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-330-6707 or email Matthew Schwartz directly at mschwartz@tslfirm.com.