MARK BRADLEY CLAUSEN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/07/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C02050046 TO: Department of Enforcement NASD RE: Mark Bradley Clausen, Respondent Investment Company & Variable Contracts Products Representative CRD No. 1752792 Pursuant to Rule 9216 of NASD Code of Procedure, I, Mark Bradley Clausen ("Clausen") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if
Reference C02050046data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1752792 |
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