CLARK JOHNSTON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/18/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CLARK JOHNSTON (CRD No. 859781), Respondent. Disciplinary Proceeding No. 2012032731701 Hearing Officer - CC DEFAULT DECISION March 18, 2014 Respondent is barred from associating with any FINRA member firm in any capacity for failing to appear and provide sworn testimony, in violation of FINRA Rules 8210 and 2010. Appearances John S. Han, Esq., for the Department of Enforcement
Reference 2012032731701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	859781

Other names1

Also known as1

CLARK LYNN JOHNSTON

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