JAMES G. McKINNEY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/27/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES G. MCKINNEY (CRD No. 2100850), Respondent. Disciplinary Proceeding No. 2018057829001 Hearing Officer-MJD DEFAULT DECISION February 27, 2020 Respondent is barred from associating with any FINRA member firm in any capacity for failing to comply with requests for information and documents and failing to provide testimony during a FINRA investigation, in violation of FINRA Rules 8210 and 2010.
11/05/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES G. McKINNEY (CRD No. 2100850), Respondent. Disciplinary Proceeding No. 2018057829001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In March 2018, FINRA commenced an investigation of respondent James G. McKinney for possible violations of FINRA rules. During that investigation, McKinney failed to comply with multiple FINRA requests.
Reference 2018057829001data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2100850 |
Other names1
Also known as1
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