REBECCA A. CLAYTON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/14/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. REBECCA A. CLAYTON (CRD No. 3228952), Respondent. Disciplinary Proceeding No. C04050003 Hearing Officer - DRP DEFAULT DECISION June 14, 2005 Respondent is barred from associating with any NASD member in any capacity for converting customer funds, in violation of NASD Conduct Rule 2110, and for failing to respond to requests for information, in violation of NASD Procedural Rule 8210 and NASD Conduct Rule 2110.
Reference C04050003data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3228952

Other names1

Also known as1

REBECCA ANN CLAYTON

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.