Demaurio Cortez Clark
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/27/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064268201 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Demaurio Cortez Clark, Respondent Investment Company and Variable Contracts Products Representative CRD No. 6945280 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Demaurio Cortez Clark (“Clark” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described
Reference 2019064268201finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6945280 |
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