CLAYTON RICHARD WALDIE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/21/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C040500 27 To: Department of Enforcement NASD Re: Clayton Richard Waldie General Securities Representative (CRD No. 4476389) Pursuant to Rule 9216 of the NASD Code of Procedure, I, Clayton Richard Waldie (Waldie), submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future
Reference C04050027finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4476389 |
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