GLENN MCDOWELL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/07/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GLENN MCDOWELL (CRD No. 2748337), Respondent. Disciplinary Proceeding No. 2013035902701 Hearing Officer-LOM DEFAULT DECISION Respondent is barred in all capacities for unauthorized trading in violation of FINRA Rule 2010. He is also ordered to pay restitution in the amount of $70,040.03, plus prejudgment interest. Appearances For the Complainant: Jennifer M. Sepic, Esq., Douglas Ramsey,
10/28/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS - Department of Enforcement, Complainant, V. Glenn McDowell (CRD No. 2748337), Respondent. DISCIPLINARY PROCEEDING No. 2013035902701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the time period of May 24, 2012 to July 26, 2012 (the "Relevant Period"), while employed as a registered representative at National Securities Corporation, Respondent Glenn McDowell ("McDowell") executed at least 38 unauthorized
Reference 2013035902701data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2748337

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