Samuel Ryan McClain

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/10/2016: FINANCIAL INDUSTRYREGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Samuel Ryan McClain (CRD No. 1555602), Respondent. DISCIPLINARY PROCEEDING No. 20150455320-02 COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. Samuel Ryan McClain ("McClain"), a former Investment Company Products/Variable Contracts Representative at Northwestern Mutual Investment Services, LLC ("Northwestern" or the "Firm"), a FINRA-registered broker-dealer,
01/10/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SAMUEL RYAN MCCLAIN (CRD No. 1555602), Respondent. Disciplinary Proceeding No. 20150455320-02 Hearing Officer-KBW DEFAULT DECISION January 10, 2017 Respondent is barred from associating with any FINRA member firm in any capacity for failing to appear and provide investigative testimony, in violation of FINRA Rules 8210 and 2010. For the Complainant: Daniel M. Hibshoosh,
Reference 2015045532002data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1555602

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