Clayton, Dunning & Company Inc.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/25/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. # E102004089101 TO: Department of Enforcement NASD RE: Clayton, Dunning & Company, Inc. (BD No. 42533) Pursuant to Rule 9216 of NASD Code of Procedure, Clayton Dunning & Company, Inc (hereinafter "Respondent" or "CDC") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring
Reference E102004089101data-portal.finra.orgfinra.org
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