Doug Marshall McKelvey
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/26/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074899601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Doug Marshall McKelvey (Respondent) General Securities Representative (GS) CRD No. 4502849 Pursuant to FINRA Rule 9216, Respondent Doug Marshall McKelvey submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2022074899601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4502849 |
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