← Broker database 2026-04-13
California Broker Clinton Galloway Suspended for Failure to Provide Information to FINRA
According to FINRA, Clinton Edmund Galloway was suspended from association with any FINRA member effective April 13, 2026, pursuant to FINRA Rule 9552(d), for failure to provide information or keep information current with FINRA.
FINRA Rule 9552(d) authorizes FINRA to suspend a registered person who fails to provide required information or keep registration information current. Unlike a Rule 9552(h) bar, a suspension under Rule 9552(d) is designed to compel compliance: it remains in effect until the individual fulfills the outstanding information obligation. Once compliance is demonstrated, the suspension may be lifted.
Registered persons are required to disclose and promptly update information about material events in their professional and personal lives that affect their fitness to work in the securities industry. These obligations include disclosing customer complaints, legal proceedings, changes in employment, financial events, and regulatory investigations, among other matters. FINRA uses this information to monitor registrant fitness and to provide investors with accurate background information through BrokerCheck.
When registered persons fail to meet these obligations, the regulator and investors are left with incomplete or outdated information about the individuals they are evaluating. This undermines the transparency that is essential to investor protection and regulatory oversight.
Investors who have previously worked with Galloway or who are considering any financial relationship should check FINRA BrokerCheck to review his current registration status and complete disclosure history. BrokerCheck is freely accessible at finra.org/brokercheck and is updated regularly as regulatory actions are finalized.