RAYMOND E. CLAY SR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/04/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT To: Department of Enforcement FINRA Re: Raymond E. Clay, Sr. Investment Company/Variable Contracts Products Representative CRD No. 2491012 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Raymond E. Clay, Sr., submit this Letter of Acceptance
Reference 2008013939501data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2491012 |
Other names1
Also known as1
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