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2018057829001 JAMES G. MCKINNEY CRD 2100850 OHO Decision sl (2020-1585527566579).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES G. MCKINNEY (CRD No. 2100850), Respondent. Disciplinary Proceeding No. 2018057829001 Hearing Officer-MJD DEFAULT DECISION February 27, 2020 Respondent is barred from associating with any FINRA member firm in any capacity for failing to comply with requests for information and documents and failing to provide testimony during a FINRA investigation, in violation of FINRA Rules 8210 and 2010.

Enhance U4 Filing Experience Webinar

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FINRA is hosting a series of webinars to discuss upcoming enhancements to registration workflows. The first offering in this series introduces the improved U4 filing experience that will become available in the coming months. This new functionality aims to simplify the form filing process as well as reduce submission errors.