RAYMOND THOMAS CLARK

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/05/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RAYMOND THOMAS CLARK (CRD No. 3120696), Respondent. Disciplinary Proceeding No. 2011027402201 Hearing Officer-DRS HEARING PANEL DECISION August 5, 2014 Respondent is: (1) suspended for three months, in all capacities, and fined $6,000 for violating FINRA Rule 2010 by using his personal email account to communicate with a customer; (2) suspended for four months, in all capacities, and fined $10,000
Reference 2011027402201finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/26/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Raymond Clark (CRD No. 3120696), Respondent DISCIPLINARY PROCEEDING No. 2014040349001, HEARING OFFICER - KWB ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 26, 2015 INTRODUCTION Disciplinary Proceeding No. 2014040349001 was filed on November 24,2014, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant").
Reference 2014040349001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Raymond T. Clark, CRD No. 3120696, Respondent. DISCIPLINARY PROCEEDING No. 2008014383901 Hearing Officer - MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 10, 2012 INTRODUCTION Disciplinary Proceeding No. 2008014383901 was filed on November 15, 2011 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Raymond
Reference 2008014383901data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/24/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Raymond T. Clark (CRD No. 3120696), Respondent. DISCIPLINARY PROCEEDING No. 2014040349001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Raymond T. Clark ("Clark") failed to appear and provide investigative testimony on three occasions, in violation of FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION 2. Clark entered the securities industry in 1998, when he associated
Reference 2014040349001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3120696

Other names2

Also known as2

RAYMOND CLARKRAYMOND T. CLARK

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