JERYL WAYNE CLEGG

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/29/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA") OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JERYL WAYNE CLEGG (CRD No. 2542818) Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Jeryl Wayne Clegg ("Clegg") converted funds from the variable annuity accounts of two customers, in violation of NASD Conduct Rule 2330(a) and FINRA Rule 2010. Clegg also failed to respond to multiple FINRA requests for information issued pursuant to FINRA Rule 8210, in violation of
02/02/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JERYL WAYNE CLEGG, (CRD No. 2542818) Respondent. Disciplinary Proceeding No. 2010022209101 Hearing Officer: MAD ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2010022209101 was filed on October 29, 2010 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Clegg submitted an Offer of Settlement (Offer) to
Reference 2010022209101data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2542818

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