WILLIAM LEROY CLIFTON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/14/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001361901 TO: Department of Enforcement NASD RE: William Leroy Clifton, Respondent [General Securities Representative] [CRD No. 48758] Pursuant to Rule 9216 of NASD Code of Procedure, Respondent William Leroy Clifton ("Clifton" or "Respondent") submits 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 2005001361901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	48758

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