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


Violations Alleged

Securities Act
Sec 17(a)(2)
Sec 17(a)(3)


First Resolution Date 14-Aug-2012
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

33-9349 14-Aug-2012 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 15(b) of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-79888 27-Jan-2017 Administrative Proceeding
Notice of Proposed Plan of Distribution and Opportunity for Comment
34-81064_3-14982 30-Jun-2017 Administrative Proceeding
Notice of Name Change of Appointed Tax Administrator

Other Defendants in Action: