Defendant Name:
Ross I. McLellan
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Ross McLellan
First Document Date
02-Mar-2021
Initial Filing Format
Administrative Action
File Number
3-20236
Allegation Type
Broker Dealer
Affiliations
- Former: Executive Vice President at State Street Corporation (2010—2011)
- Former: Broker/Registered Representative at State Street Global Markets, LLC (November 1997—November 2011)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
- Bar from participating in any penny stock offering (of unspecified duration)
First Resolution Date
