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Dennis Boyd McMurray – Rancho Santa Margarita, California

An AWC was issued in which McMurray was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, McMurray consented to the sanction and to the entry of findings that he failed to provide FINRA-requested documents and information related to an investigation into the circumstances surrounding his termination from his member firm. The findings stated that McMurray’s firm submitted a Form U5 disclosing an internal review of him relating to “private securities transactions/selling away.” (FINRA Case #2016051351801)