JAMES SCOTT MCKEE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James Scott McKee (CRD No. 3222516), Respondent. DISCIPLINARY PROCEEDING NO. 2010025217901 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Beginning in approximately February 2006 and continuing through September 2011 (the "relevant period"), James Scott McKee defrauded brokerage customers and others by persuading them through material misrepresentations and omissions
09/13/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES SCOTT MCKEE (CRD No. 3222516), Respondent. Disciplinary Proceeding No. 2010025217901 Hearing Officer - MC DEFAULT DECISION September 13, 2012 Respondent James Scott McKee is barred from associating with any FINRA member firm in any capacity for: (i) knowingly and recklessly making material misrepresentations and omissions to induce customers to invest in securities, in violation of Section 10
Reference 2010025217901data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3222516 |
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