James Randall Clay
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/04/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James Randall Clay (CRD No. 5748560), Respondent. DISCIPINARY PROCEEDING NO. 2014039775501 HEARING OFFICER: COMPLAINT The Department of Enforcement
09/14/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. JAMES RANDALL CLAY (CRD No. 5748560), Respondent. DISCIPLINARY PROCEEDING NO. 2014039775501 HEARING OFFICER - CC HEARING PANEL DECISION Date: September 14, 2018 Respondent engaged in undisclosed outside business activities involving an elderly customer, in violation of FINRA Rules 3270 and 2010. After the elderly customer’s family complained to Respondent’s member firm, Respondent
Reference 2014039775501data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5748560 |
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