KEVIN J MACDONALD

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/24/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. KEVIN J. MACDONALD (CRD No. 5357796), Respondent. Disciplinary Proceeding No. 20070103448 Hearing Officer-RSH Respondent violated NASD Conduct Rule 2110 and Procedural Rule 8210 by failing to respond to requests for information, and violated Conduct Rule 2110 by failing to report on his Form U4 that his law license had been suspended. For these violations, Respondent was barred from associating
Reference 2007010344801finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5357796

Other names1

Also known as1

KEVIN J. MACDONALD

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