GEORGE E. BROWN MCMAHON III
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/26/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Disciplinary Proceeding No. 2005003051001 Complainant, v. George E. Brown McMahon III CRD No. 3055065 Respondent. Hearing Officer COMPLAINT Date: June 26, 2006 Upon information and belief, Complainant alleges as follows: 1. Respondent George E. Brown McMahon III ("McMahon") first became registered with NASD in May 1998. He was registered with J.P. Turner & Company, LLC ("JPT") as a General Securities Representative from April 2003 to about September
11/03/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GEORGE E. BROWN McMAHON III (CRD No. 3055065), Respondent. Disciplinary Proceeding No. 2005003051001 DEFAULT DECISION Hearing Officer - SNB November 3, 2006 For misuse of customer funds, in violation of Rules 2330(a) and 2110, and for failure to provide requested information, in violation of Rules 8210 and 2110, Respondent is barred from associating with any NASD member in any capacity.
Reference 2005003051001data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3055065 |
Other names1
Also known as1
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