Nex Systems
Type not stated

Clyde Anthony Jensen

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

    02/26/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Clyde Anthony Jensen CRD No. 5658476, Respondent. Disciplinary Proceeding No. 2018059733101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Clyde Jensen was the broker of record for several accounts held by Customer J, a widow who, during the relevant period, was in her 90s. In March 2017, Jensen told his firm that Customer J wanted to name Jensen the beneficiary

    08/27/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. CLYDE ANTHONY JENSEN (CRD No. 5658476), Respondent. Disciplinary Proceeding No. 2018059733101 Hearing Officer-BEK ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 27, 2021 INTRODUCTION Disciplinary Proceeding No. 2018059733101 was filed on February 26, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Clyde A. Jensen submitted an Offer of Settlement (Offer) to Complainant dated August 24, 2021. Pursuant to FINRA Rule 9270(e), the Complainant and the National Adjudicatory

    Reference 2018059733101data-portal.finra.orgfinra.orgdata-portal.finra.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.