Raymond Thomas Clark (CRD #3120696, Williamsville, New York)
was barred by FINRA for failing to appear for FINRA-requested on-the-record testimony. This request was related to an investigation into whether he allegedly executed excessive and/or unauthorized transactions in customer accounts, exercised discretion without authorization, and accepted trade instructions from an individual who was not authorized to exercise trading authority in a customer account.
(FINRA Case #2014040349001)
Raymond Clark was previously registered with the following firms:
08/2010 - 08/2014 DYNASTY CAPITAL PARTNERS, INC. (CRD# 122806) - BUFFALO, NY
05/2009 - 08/2010 FIRST MIDWEST SECURITIES, INC. (CRD# 21786) - BUFFALO, NY
12/2008 - 05/2009 PAULSON INVESTMENT COMPANY, INC. (CRD# 5670) - BUFFALO, NY
06/2007 - 01/2009 J.P. TURNER & COMPANY, L.L.C. (CRD# 43177) - BUFFALO, NY
11/2005 - 07/2007 BATHGATE CAPITAL PARTNERS LLC (CRD# 38923) - BUFFALO, NY
03/2002 - 11/2005 J.P. TURNER & COMPANY, L.L.C. (CRD# 43177) - ATLANTA, GA
01/2001 - 03/2002 GLOBAL CAPITAL SECURITIES CORPORATION (CRD# 16184) - ENGLEWOOD, CO
09/1998 - 01/2001 GLOBAL CAPITAL MARKETS, LLC (CRD# 16191) - MELVILLE, NY
This summation of information was obtained from FINRA's website May 2015 ends here.
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