Nex Systems
Type not stated

Clark James Kline

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/22/2025: Between August 2023 and April 2024, Kline made payments totaling approximately $180,000 from funds credited to his Morgan Stanley brokerage account as a result of multiple transfers sent from his personal bank account, when he knew that his personal bank account lacked funds to cover the transfers. By doing so, Kline violated FINRA Rule 2010.

    Reference 2024082245501data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.