Defendant Name:
Ross I. McLellan
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Ross I. McLellan
First Document Date
13-May-2016
Initial Filing Format
Civil Proceeding
Case Number
16-cv-10874
Allegation Type
Broker Dealer
Federal District Court
Massachusetts, District of Massachusetts
Affiliations
- Former: President at State Street Global Markets, LLC
- Former: Managing Director at State Street Global Markets, LLC
- Former: Broker/Registered Representative at State Street Global Markets, LLC
- Former: Global Head of State Street's Portfolio at State Street Global Markets, LLC
Related Violations Alleged
Ross I. McLellan is alleged to have aided and abetted State Street Bank and Trust Company's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Ross I. McLellan is alleged to have aided and abetted State Street Global Markets, LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Ross I. McLellan is alleged to have aided and abetted State Street Global Advisors Funds Distributors, LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Resolutions
First Resolution Date
17-Jun-2024
