JAMES CLAYBORN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/29/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005927801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Clayborn, Respondent Investment Company Products/Variable Contracts Representative CRD No. 4844986 Pursuant to Rule 9216 of FINRA Code of Procedure, I, James Clayborn, submit this Letter of Acceptance, Waiver and Consent ("AWC) for the purpose of proposing a settlement of the alleged rule violations
Reference 2006005927801finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4844986

Other names1

Also known as1

JAMES RICHARD CLAYBORN

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