ROBERT A CLIPPER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/24/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT A. CLIPPER CRD No. 5109047), Respondent. Disciplinary Proceeding No. 2007009785301 Hearing Officer - MC DEFAULT DECISION February 24, 2009 Respondent is barred for (i) his misuse of customer funds, in violation of Conduct Rule 2110, and (ii) his failure to respond completely to FINRA staff requests for information, in violation of Conduct Rule 2110 and Procedural Rule 8210.
Reference 2007009785301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5109047

Other names1

Also known as1

ROBERT A. CLIPPER

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