Michael Joseph Clarke
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/17/2020: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Michael Joseph Clarke Jersey City, NJ, Respondent. DECISION Complaint No. 2016050938301 Dated: September 17, 2020 Registered representative converted funds made material misrepresentations, and executed bad checks and failed electronic transfers. Held, findings and sanctions modified in part.
06/15/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael Joseph Clarke (CRD No. 1078211), Municipal Securities Representative, Respondent. Disciplinary Proceeding No. 2016050938301 Hearing Officer: The Department of Enforcement alleges: SUMMARY 1. From October 2015 to April 2016, Respondent Michael J. Clarke ("Clarke" or "Respondent") made multiple misrepresentations to induce
05/08/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL JOSEPH CLARKE (CRD No. 1078211), Respondent. Disciplinary Proceeding No. 2016050938301 Hearing Officer–DW HEARING PANEL DECISION May 8, 2019 Respondent Michael Clarke engaged in unethical conduct by converting $612,400 advanced to him for the purpose of purchasing and reselling sports tickets.
07/10/2023: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 97860 / July 10, 2023 Admin. Proc. File No. 3-20126 In the Matter of the Application of MICHAEL JOSEPH CLARKE For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION—REVIEW OF DISCIPLINARY PROCEEDING FINRA found that person associated with member firm converted funds, made material misrepresentations, and issued bad checks; barred him for his violations of FINRA rules; and ordered restitution. Held, FINRA’s findings of violation
Reference 2016050938301finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1078211 |
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