VAN CLEMENS & CO. INCORPORATED
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/19/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053162101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Van Clemens & Co. Inc., Respondent CRD No. 6914 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2017053162101data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/21/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025499401 To: Department of Enforcement FINRA Re: Van Clemens & Co. Incorporated CRD No. 6914 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Van Clemens & Co. Incorporated, submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any
Reference 2011025499401data-portal.finra.orgfinra.org
Other names1
Also known as1
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