Raymond William Clark

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/09/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076459304 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond William Clark (Respondent) Former General Securities Representative and Former General Securities Principal CRD No. 2865619 Pursuant to FINRA Rule 9216, Respondent Raymond William Clark 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 future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2022076459304data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2865619

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