TRACY L CLIFFORD

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/02/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015218401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Tracy L. Clifford, Respondent Registered Representative (CRD # 2242393) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Tracy L. Clifford ("Clifford") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2008015218401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2242393

Other names1

Also known as1

TRACY L. CLIFFORD

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.