Nex Systems
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Clayton R. Sontag

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

    08/27/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Clayton R. Sontag (CRD No. 2371415), Respondent. DISCIPLINARY PROCEEDING No. 2013035634401 HEARING OFFICER COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While Clayton R. Sontag ("Sontag") was registered with FINRA through an association with J.D. Nicholas Associates Inc. (BD No. 44791) ("JD Nicholas'' or the "Firm"), he willfully failed to disclose on

    04/16/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Clayton R. Sontag (CRD No. 2371415), Respondent. DISCIPLINARY PROCEEDING No. 2013035634401 HEARING OFFICER- KBW ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 16, 2015 INTRODUCTION Disciplinary Proceeding No. 2013035634401 was filed on August 27, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Clayton Sontag ("Sontag")

    Reference 2013035634401data-portal.finra.orgdata-portal.finra.orgfinra.org

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