MICHAEL D. MCCLELLAN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/29/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. MICHAEL D. MCCLELLAN (CRD No. 4369132) Respondent. Disciplinary Proceeding No. E8A2004095001 Hearing Officer -AWH DEFAULT DECISION June 29, 2007 Formerly registered representative barred from association with any member firm in any capacity for recommending and effecting unsuitable transactions in a customer's account, in violation of NASD Conduct Rules 2310
01/26/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. MICHAEL D. McCLELLAN Registered Representative (CRD No. 4369132) Respondent Disciplinary Proceeding No. E8A2004095001 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: SUMMARY 1. From on or about June 10, 2003, to on or about August 20, 2004, Michael D. McClellan ("McClellan") recommended and effected a total of 329 purchases or sales of equity securities transactions for the individual
Reference E8A2004095001data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4369132 |
Other names1
Also known as1
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