Defendant Name:
Douglas W. McFaddin
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Charles E. LeCroy and Douglas W. MacFaddin
First Document Date
04-Nov-2009
Initial Filing Format
Civil Proceeding
Case Number
09-cv-02238
Allegation Type
Municipal Securities & Public Pensions
Federal District Court
Alabama, Northern District of Alabama
Affiliations
- Former: Managing Director and Head of J.P. Morgan Securities' Municipal Derivatives Department at J.P. Morgan Securities Inc. (2001—March 2008)
Violations Alleged
•
Section 15B(c)(1) Exchange Act; Rules G-17, G-20 MSRB
Resolutions
First Resolution Date
04-Dec-2015
Headline Total Penalty and Disgorgement
$326,373
Other Defendants in Action: