STEVEN C. CLYDE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/26/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEVEN C. CLYDE (CRD No. 1512386), Respondent. Disciplinary Proceeding No. E062004019501 Hearing Officer-AWH Default Decision May 26, 2006 Formerly registered person (1) misappropriated customer funds, in violation of Conduct Rules 2110 and 2330; (2) forged customers' signatures on documents, in violation of Conduct Rule 2110; and (3) failed to appear for testimony, in violation of Procedural Rule 8210 and Conduct Rule 2110.
12/29/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Steven C. Clyde, CRD No. 1512386 Respondent. Disciplinary Proceeding No. E062004019501 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Steven C. Clyde ("Clyde" or "Respondent") entered the securities industry in February 1986, when he associated with an NASD member firm. During the period from March 1990 to June 2003, Clyde associated with six member firms.
Reference E062004019501data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1512386

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