CLYDE MARSHALL THORNBURG
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/09/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Clyde Thornburg, CRD No. 1065161, Respondent. Disciplinary Proceeding No. 2009016272904 Hearing Officer: LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: 10/05/12 INTRODUCTION Disciplinary Proceeding No. 2009016272904 was filed on February 9, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority
02/09/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Clyde Thornburg (CRD No. 1065161), Respondent. DISCIPLINARY PROCEEDING No. 20090162729 HEARING OFFICER: COMPLAINT OVERVIEW 1. Between February 2008 and November 2009 (the relevant period), Respondent Clyde Thornburg, a Sarasota, Florida-based registered representative with NEXT Financial Group, Inc. ("NEXT" or "the Firm"),
Reference 2009016272904data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1065161 |
Other names1
Also known as1
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.