James Stewart Meagher
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/01/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. James Stewart Meagher (CRD No. 2328325), Respondent. Disciplinary Proceeding No. 20110305098-02 COMPLAINT The Department of Market Regulation alleges: Summary 1. This case involves two separate fraudulent schemes employed by Respondent James Stewart Meagher and Meagher' s false and misleading testimony in connection with FINRA staff's investigation of this matter.
01/16/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. JAMES STEWART MEAGHER (CRD No. 2328325), Respondent. Disciplinary Proceeding No. 20110305098-02 Hearing Officer-DW DEFAULT DECISION January 16, 2018 Respondent is barred from associating with any FINRA registered firm in any capacity for
Reference 2011030509802data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2328325 |
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