David A. Clark
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/22/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID A. CLARK (CRD No. 6520351), Respondent. Disciplinary Proceeding No. 2016050212201 Hearing Officer-JLC DEFAULT DECISION August 22, 2018 Respondent is barred from associating with any FINRA member in any capacity for twice failing to appear and provide testimony in violations of FINRA Rules 8210 and 2010.
05/03/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David A. Clark (CRD No. 6520351), Respondent. DISCIPLINARY PROCEEDING No. 2016050212201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent David A. Clark ("Clark" or "Respondent") authored an eBook and operated a website and social media page that promoted his business as a registered representative of a broker dealer.
Reference 2016050212201data-portal.finra.orgfinra.orgdata-portal.finra.org
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