WILLIAM R CLEMONS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/14/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIAM R. CLEMONS (CRD No. 4985168), Respondent. Disciplinary Proceeding No. 2005002743601 DEFAULT DECISION Hearing Officer-SW Dated: November 14, 2006 Respondent was barred for: (i) violating NASD Conduct Rule 2110 and IM-1000-1 by willfully failing to disclose his criminal history on a Form U-4 application; and (ii) violating NASD Procedural Rule 8210 and NASD Conduct Rule 2110 by failing to respond to requests
Reference 2005002743601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4985168

Other names1

Also known as1

WILLIAM R. CLEMONS

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.