JAMES ANTHONY PARRELLY

12/11/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James A. Parrelly, CRD No. 728368 Respondent. Disciplinary Proceeding No. E8A2003033801 Hearing Officer - AHP ORDER ACCEPTING OFFER OF SETTLEMENT Date: December II, 2006 INTRODUCTION Disciplinary Proceeding No. E8A2003033801 was filed on October 13, 2006, by the Department of Enforcement of NASD ("Complainant"). Respondent James A. Parrelly submitted an Offer of Settlement ("Offer") to Complainant on April 3, 2006. Pursuant to Code

10/13/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. JAMES A. PARRELLY (CRD No. 728368), RESPONDENT. DISCIPLINARY PROCEEDING No. E8A2003033801 Hearing Officer COMPLAINT COMPLAINT The Department of Enforcement alleges: 1. James A. Parrelly ("Respondent") was registered as a General Securities Representative with Spelman & Co., Inc. ("Member"), a NASD member, between February 2001 and December 2002. Respondent is currently registered with another NASD member, and therefore subject to the

Reference E8A2003033801data-portal.finra.orgfinra.orgdata-portal.finra.org

05/05/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062166301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James A. Parrelly, Respondent Registered Representative CRD No. 728368 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James A. Parrelly submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2019062166301finra.orgdata-portal.finra.org

06/28/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2020067338101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James A. Parrelly (Respondent) Former General Securities Representative CRD No. 728368 Pursuant to FINRA Rule 9216, Respondent James A. Parrelly 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 2020067338101data-portal.finra.orgfinra.org