MARK MCEWEN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/05/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Mark McEwen (CRD No. 4613500), Respondent. DISCIPLINARY PROCEEDING NO. 20080149406 COMPLAINT The Department of Enforcement alleges: 1. Respondent Mark McEwen ("Respondent" or "McEwen'') first became registered as a limited securities representative (Series 6) and (Series 63) in 2003, at World Group Securities, Inc. ("World Group" or "firm"), in Chesterfield, MO. 2. On September 15, 2008, World Group
03/09/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARK McEWEN (CRD No. 4613500), Respondent. Disciplinary Proceeding No. 20080149406 Hearing Officer - LBB DEFAULT DECISION March 9, 2010 Respondent is barred from associating with any member firm for conversion of customer funds, in violation of NASD Conduct Rules 2330(a) and 2110. He is also barred for failure to appear and testify at an on-the-record interview, in violation of FINRA Procedural Rule
Reference 2008014940601data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4613500

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.