JAMES HARRY MACKELLAR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/01/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078203401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James H. MacKellar (Respondent) Former Direct Participation Programs Representative, Investment Company and Variable Contracts Products Principal, and Investment Company and Variable Contracts Products Representative CRD No. 803007 Pursuant to FINRA Rule 9216, Respondent James H. MacKellar submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2023078203401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 803007 |
Other names1
Also known as1
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