CHRISTOPHER E. CLEMENTS

02/03/2014: FINANCIALI NDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Christopher E. Clements, (CRD No. 1695798), Respondent DISCIPLINARY PROCEEDING No. 20110281072 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between January 2009 and March 2011, on numerous occasions, Christopher Clements submitted false expense reports to the broker-dealer that employed him, causing his firm to reimburse him for expenses that Clements did not in fact incur. By

10/20/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, Hearing Officer: MAD V. Christopher E. Clements, CRD No. 1695798 Respondent. Disciplinary Proceeding No. 2011028107201. ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2011028107201 was filed on February 3, 2014 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Christopher Clements submitted an Offer

Reference 2011028107201data-portal.finra.orgdata-portal.finra.orgfinra.org