Clay Emerson Hoffman

02/09/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041921901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Clay Emerson Hoffman, Respondent General Securities Representative CRD No. 4371162 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Clay Emerson Hoffman (hereinafter "Respondent" or "Hoffman"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

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11/01/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. CLAY EMERSON HOFFMAN, (CRD No. 4371162), RESPONDENT. DISCIPLINARY PROCEEDING No. 2015045207702 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Since April 2016, Respondent Clay Emerson Hoffman has failed to respond to multiple requests by FINRA for information that he is obligated to provide pursuant to FINRA Rule 8210. As a result, Hoffman violated FINRA Rule

03/31/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CLAY EMERSON HOFFMAN (CRD No. 4371162), Respondent. Disciplinary Proceeding No. 2015045207702 Hearing Officer-DRS DEFAULT DECISION March 31, 2017 Respondent is barred in all capacities from association with any FINRA member firm for failing to respond to information requests. Appearances For the Complainant: Rebecca L. Segrest, Esq., Department of Enforcement, Financial Industry Regulator

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