ARDELLA R. CLAY-JOHNSTON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/11/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ARDELLA R. CLAY-JOHNSTON, (CRD No. 5901800), Respondent. Disciplinary Proceeding No. 2011027554601 Hearing Officer-RLP DEFAULT DECISION March 11, 2013 Respondent is barred from associating with any FINRA member in any capacity for: (i) willfully failing to disclose her criminal history, in violation of FINRA By-Laws, Article V, Section 2, and FINRA Rules 1122 and 2010; and (ii) failing to provide
Reference 2011027554601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5901800 |
Other names1
Also known as1
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