RAYMOND THOMAS CLARK (CRD#: 3120696), a former financial advisor from Amherst, New York, allegedly stole $870,000 from his clients.  According to news reports, he is going to prison for 27 months. According to the Buffalo news, RAYMOND THOMAS CLARK pleaded guilty last year to wire fraud and money laundering. He allegedly ran a scheme targeting […]

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 […]