According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Clark (Clark), previously associated with Alexander Capital, L.p., has at least one disclosable event. These events include one regulatory event, alleging that Clark recommended unsuitable investments in different investment products including debt securities among other allegations…
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Raymond Clark (Clark) and imposed findings: (1) suspending the broker for three months and fined $6,000 for using his personal email account to communicate with a customer; (2) suspended for four months and fined $10,000 for making false statements to his firm;…
We use cookies to improve the experience of our website. By continuing to use our website, you consent to the use of cookies.
To understand more about how we use cookies, please see our Privacy Policy.