CALVIN W. MCCLINTOCK
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/18/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. CALVIN W. MCCLINTOCK Registered Representative (CRD No. 3040464) Respondent Disciplinary Proceeding NO. E8A2004085901 Hearing Officer AMENDED COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Between approximately July 1998 and August 2004, Calvin W. McClintock ("Respondent") was registered as a General Securities Representative
01/23/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CALVIN W. MCCLINTOCK (CRD No. 3040464), Respondent. Disciplinary Proceeding No. E8A2004085901 DEFAULT DECISION Hearing Officer - SW Dated: January 23, 2006 Respondent is barred from associating with any NASD member in any capacity for failing to respond to requests for information in violation of NASD Procedural Rule 8210 and NASD Conduct Rule 2110.
Reference E8A2004085901data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3040464 |
Other names1
Also known as1
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