JOHN ROTHROCK MCKINSTRY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/26/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046315101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Rothrock McKinstry, Respondent CRD No. 1012658 Pursuant to FINRA John Rothrock McKinstry ("McKinstry" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if
Reference 2015046315101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1012658

Other names1

Also known as1

JOHN ROTHROCK MCKINSTRY, JR

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