New Jersey Bureau of Securities

MCNEILL IS THE SUBJECT OF AN ORDER OF A SELF-REGULATORY ORGANIZATION EXPELLING HIM FROM A SELF-REGULATORY ORGANIZATION.

Order

Revocation

All exemptions contained in N.J.S.A. 49:3-50 subsection (a) paragraph 9, 10, and 11, and subsection (b), are hereby DENIED as to McNeill; and further, the exemptions to the registration requirements provided by N.J.S.A. 49:3-56(b), N.J.S.A. 49:3-56(c), and N.J.S.A. 49:3-56(g), are hereby DENIED as to McNeill.

FINRA

Respondent McNeill failed to respond to FINRA request for information.

Letter

Bar (Permanent)

All capacities

Indefinite

12/28/2018

Pursuant to FINRA Rule 9552(h) and in accordance with FINRA's Notice of Suspension and Suspension from Association letters dated September 25, 2018 and October 19, 2018, respectively, on December 28, 2018, McNeill is barred from association with any FINRA member in any capacity. Respondent failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in any capacity.

CHURNING, UNSUITABILITY, BREACH OF FIDUCIARY DUTY, COMMON LAW FRAUD, BREACH OF CONTRACT

$100,000.00

$62,500.00

THESE WERE PERSONAL AND BUSINESS RELATIONSHIPS WHICH I HAD DEVELOPED OVER MANY YEARS. I VEHEMENTLY DENY ALL ALLEGATIONS, AND ALL CLAIMS ARE COMPLETELY UNFOUNDED. ALL TRANSACTIONS AND RECOMMENDATIONS WERE DONE IN COMPLETE CONJUNCTION AND CONSIDERATION OF THE CUSTOMERS' STATED INVESTMENT GOALS AND OBJECTIVES.

$21,779.00

Tax

$550.00 MONTHLY PAYMENT. INSTALLMENT AND REPAYMENT AGREEMENT ESTBLISHED SEPTEMBER 2012.

CHURNING, EXCESSIVE COMMISSIONS

$218,325.00

$55,000.00

I HAVE BEEN DISMISSED FROM THE CASE WITH PREJUDICE. THE FIRM HAS SETTLED WITH THE CUSTOMER TO AVOID THE RISKS, COST AND UNCERTAINTY OF AN ARBITRATION HEARING.