BERNARD G MCGEE

03/27/2017: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 80314 / March 27, 2017 Admin. Proc. File No. 3-17402 In the Matter of the Application of BERNARD G. MCGEE For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDINGS Fraud Unsuitable Recommendation Failure to Provide Written Notice to Firm of Outside Business Activities Failure to Timely Disclose Material Information on Form U4

05/09/2018: 17-1240-ag Bernard G. McGee v. Securities and Exchange Commission UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT SUMMARY ORDER RULINGS BY SUMMARY ORDER DO NOT HAVE PRECEDENTIAL EFFECT. CITATION TO A SUMMARY ORDER FILED ON OR AFTER JANUARY 1, 2007 IS PERMITTED AND IS GOVERNED BY FEDERAL RULE OF APPELLATE PROCEDURE 32.1 AND

11/11/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bernard G. McGee (CRD # 1203327), Respondent. DISCIPLINARY PROCEEDING No. 2012034389202 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In March 2011, Bernard G. McGee recommended that his customer, CF, surrender four variable annuities valued at approximately $494,000, which represented approximately half her net worth, and purchase a "charitable gift annuity"

07/18/2016: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Bernard G. McGee Cazenovia, NY, Respondent. DECISION Complaint No. 2012034389202 Dated: July 18, 2016 In connection with a customer's surrender of four variable annuities and purchase of a charitable gift annuity, respondent willfully omitted a material fact, made an unsuitable recommendation, engaged in undisclosed outside business activities, failed to timely update

12/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BERNARD G. McGEE (CRD No. 1203327), Respondent. Disciplinary Proceeding No. 2012034389202 Hearing Officer-DRS AMENDED EXTENDED HEARING PANEL DECISION1 December 22,2014 Respondent is barred in all capacities from associating with any FINRA member for: (1) willfully violating Section 10(b) of the Securities Exchange Act of 1934 and SEC Rule 10b-5, and violating FINRA Rules 2020 and

Reference 2012034389202data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org