Defendant Name:
Shawn Patrick McMurtry
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurty
First Document Date
14-Aug-2012
Initial Filing Format
Administrative Action
File Number
3-14982
Allegation Type
Municipal Securities & Public Pensions
Affiliations
- Former: Vice President in Institutional Brokerage and Sales Division at Wells Fargo Brokerage Services, LLC
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 6 months
- Bar from participating in any penny stock offering for 6 months
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 6 months
First Resolution Date
14-Aug-2012
Headline Total Penalty and Disgorgement
See Related Documents
Other Defendants in Action:
