J. GORDON CLOUTIER, JR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/30/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. J. Gordon Cloutier Jr. (CRD No. 2817022), Respondent. DISCIPLINARY PROCEEDING No. 2016051652702 COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. Respondent J. Gordon Cloutier Jr. failed to appear for testimony under oath on October 25, 2017
08/27/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. J. GORDON CLOUTIER JR. (CRD No. 2817022), Respondent. Disciplinary Proceeding No. 2016051652702 Hearing Officer–MC DEFAULT DECISION August 27, 2018 Respondent is barred from associating with any member firm in any capacity for failing to appear and provide testimony under oath as requested pursuant to FINRA Rule 8210.
Reference 2016051652702data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2817022 |
Other names1
Also known as1
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