2021071094401 John Pelletier CRD 4205289 Complaint gg (2023-1697934015888).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
Department of Enforcement,
Complainant,
v.
John Pelletier
CRD No. 4205289,
Respondent.
Disciplinary Proceeding
No. 2021071094401
COMPLAINT
The Department of Enforcement alleges:
SUMMARY
1. Between May 2017 and July 2018, while associated with then FINRA member
BMO Harris Financial Advisors, Inc.