RICHARD ALLEN MCGARRAH

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/05/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. RICHARD McGARRAH (CRD No. 1892189), Respondent. Disciplinary Proceeding No. 2007009387601 DEFAULT DECISION Hearing Officer-SNB December 5, 2008 For conversion of customer funds, in violation of Rules 2330 and 2110, forgery and falsification of documents, in violation of Rule 2110, and failure to appear for testimony, in violation of Rules 8210 and 2110, Respondent is barred from associating with any
Reference 2007009387601finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1892189

Other names1

Also known as1

RICHARD MCGARRAH

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