CLAY K. MATSUDA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/29/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0220040688-01 TO: Department of Enforcement NASD RE: Clay K. Matsuda. Respondent Investment Company and Variable Contracts Products Representative CRD No. 2541661 Pursuant to Rule 9216 of NASD Code of Procedure, I, Clay K. Matsuda ("Matsuda"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if
Reference E022004068801finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2541661

Other names1

Also known as1

CLAY KATSUMI MATSUDA

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