TIMOTHY MICHAEL MCGINN

04/05/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. MCGINN, SMITH & CO., INC. (BD No. 8453), DAVID L. SMITH (CRD No. 427284), AND TIMOTHY M. MCGINN (CRD No. 813935), RESPONDENTS. DISCIPLINARY PROCEEDING No. 20090179845 Note for Electronic Transmission of this Complaint: The issuance of a disciplinary complaint represents the initiation of a formal proceeding by FINRA in which findings as to the allegations in the complaint have not been made and does

Reference 2009017984501finra.orgdata-portal.finra.org

09/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. McGINN, SMITH & CO., INC. (BD No. 8453), DAVID L. SMITH (CRD No. 427284), and TIMOTHY M. McGINN (CRD No. 813935), Respondents. Disciplinary Proceeding No. 2009017984501 Hearing Officer-MC DEFAULT DECISION AS TO RESPONDENTS SMITH AND McGINN September 14, 2011 Respondent David L. Smith is barred from associating with any FINRA member firm in any capacity for (i) misusing investor funds, in violation of

Reference 2009017984501data-portal.finra.orgfinra.org