KELLY CLAYTON ALTHAR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/10/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kelly Clayton Althar (CRD No. 2666723), Respondent. DISCIPLINARY PROCEEDING No. 2014041137501 HEARING OFFICER: MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 10. 2017 INTRODUCTION Disciplinary Proceeding No. 2014041137501 was filed on January 6, 2017, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant"). Respondent Kelly Clayton Althar
01/06/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kelly Clayton Althar (CRD No. 2666723), Respondent. DISCIPLINARY PROCEEDING No. 2014041137501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between April 2011 and March 2014 (the "Relevant Period") Respondent Kelly Clayton Althar made unsuitable recommendations and engaged in excessive trading in two accounts held by an elderly customer, CN. Althar engaged in high volume
Reference 2014041137501data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2666723 |
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.