Kimberly Ann Clark (CRD #4312757, Columbia, Pennsylvania)

October 9, 2024 – An AWC was issued in which Clark was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Clark consented to the sanction and to the entry of findings that she refused to provide documents and information requested by FINRA in connection with its investigation into the circumstances giving rise to an amended Form U5 filed by her former member firm. The finding stated that the firm amended Clark’s Form U5 to disclose that she resigned while under review related to alleged misuse of funds associated with an OBA. (FINRA Case #2024081388501) If you have suffered losses as a result of Kimberly Ann Clark's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Kimberly Ann Clark. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-618-0545 or email Matthew Schwartz directly at mschwartz@tslfirm.com.