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



First Resolution Date

Related Documents:

34-91243 02-Mar-2021 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

Related Actions:

In the Matter of State Street Global Markets, LLC, State Street Global Advisors Funds Distributors, LLC and State Street Bank and Trust Company
SEC v. Ross I. McLellan