Kajie McMullen
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/23/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kajie McMullen (CRD No. 7052045), Respondent. Disciplinary Proceeding No. 2020068502202 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Kajie McMullent failed to provide a complete response to FINRA’s February 2021 requests for information and documents made pursuant to FINRA Rule 8210. As a result, McMullen violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION 2. McMullen,
03/11/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kajie McMullen (CRD No. 7052045), Respondent. Disciplinary Proceeding No. 2020068502202 Hearing Officer—BEK ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 11, 2022 INTRODUCTION Disciplinary Proceeding No. 2020068502202 was filed on November 23, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Kajie McMullen submitted an Offer of Settlement
Reference 2020068502202data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 7052045 |
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