The Financial Industry Regulatory Authority (FINRA) filed a disciplinary complaint against Raymond T. Clark alleging:
- that FINRA began investigating whether Clark executed excessive and/or unauthorized trades in customer accounts, exercised discretion without authority in customer accounts and accepted trade instructions from an individual who was not authorized to exercise trading authority in a customer account.
- that FINRA requested that Clark appear for on-the-record testimony on several occassons
- that Clark informed FINRA that he would not appear to provide testimony
The complaint seeks sanctions against Clark.
According to FINRA records, Clark was registered with Dynasty Capital Partners from 8/2010-8/2014 in Buffalo, NY. Prior to that he was registered with First Midwest Securities, Inc.
If you suffered losses in an account which was handled by Raymond Clark contact us to learn how you may be able to recover damages.
Rex Securities Law , located in Boca Raton, FL, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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