According to FINRA’s Disciplinary and Other FINRA Actions publication, Raymond Thomas Clark (CRD No. 3120696), a Buffalo New York broker, was barred by FINRA for failing to appear and provide investigative testimony requested by FINRA. FINRA’s request for testimony was related to FINRA’s investigation into allegations that 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. As part of the investigation, FINRA staff requested Clark provide testimony on several occasions. (See FINRA Disciplinary Proceeding No. 2014040349001)
According to FINRA’s Broker Check, Raymond Thomas Clark is permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Clark was registered in the securities industry for fifteen (15) years, and was previously registered with the following firm(s):
DYNASTY CAPITAL PARTNERS, INC.
CRD #122806
BUFFALO, NY
08/2010 – 08/2014
FIRST MIDWEST SECURITIES, INC.
CRD #21786
BUFFALO, NY
05/2009 – 08/2010
PAULSON INVESTMENT COMPANY, INC.
CRD #5670
BUFFALO, NY
12/2008 – 05/2009
J.P. TURNER & COMPANY, LLC
CRD #43177
BUFFALO, NY
06/2007 – 01/2009
BATHGATE CAPITAL PARTNERS LLC
CRD #38923
BUFFALO, NY
11/2005 – 07/2007
J.P. TURNER & COMPANY, LLC
CRD #43177
ATLANTA, GA
03/2002 – 11/2005
GLOBAL CAPITAL SECURITIES CORPORATION
CRD #16184
ENGLEWOOD, CO
01/2001 – 03/2002
GLOBAL CAPITAL MARKETS, LLC
CRD #16191
MELVILLE, NY
09/1998 – 01/2001
If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.