REGINALD GEORGE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. REGINALD GEORGE (CRD No. 5304658), Respondent. Disciplinary Proceeding No. 2009019875002 Hearing Officer - David R. Sonnenberg DEFAULT DECISION November 25, 2013 Respondent is barred from associating with any FINRA member firm in any capacity for: (i) converting $34,025 in funds from a customer's account, in violation of NASD Conduct Rule 2330(a) and FINRA Conduct Rule 2010; (ii) engaging in
05/23/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. REGINALD GEORGE (CRD No. 5304658), Respondent. DISCIPLINARY PROCEEDING No. 2009019875002 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or about November 2008 through in or about September 2009, while registered with FINRA member firm McGinn Smith & Co. Inc. (BD No. 8453) ("McGinn" or the "Firm"), Respondent Reginald George ("George") was the representative on customer KM's
Reference 2009019875002data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5304658

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