Nex Systems
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CHARLES P. CLARK III

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/05/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Charles P. Clark, III, General Securities Representative (CRD No. 2379623) Respondent. Disciplinary Proceeding No. C04040034 Hearing Officer - AWH ORDER ACCEPTING OFFER OF SETTLEMENT I. INTRODUCTION NASD's Department of Enforcement (DOE) filed the Complaint in Disciplinary Proceeding No. C04040033 on July 14, 2004. Respondent Charles P. Clark, III (Respondent Clark) submitted an Offer of Settlement (Offer) to the DOE on January 4,

    Reference C04040034data-portal.finra.orgfinra.org

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