August 9, 2023 – 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 he refused to appear for on-the-record testimony requested by FINRA while it sought to investigate, among other issues, his role in the potential churning; excessive trading; unauthorized trading of customer accounts; supervision of other registered representatives for potential excessive trading and/or churning of customer accounts; potential violations of rules intended to safeguard non-public personal customer information; and potential violations of recordkeeping rules. (FINRA Case #2022076459304)
Matthew Schwartz
Matthew Schwartz represents clients harmed by lawyers, accountants, insurance professionals, real estate agents, brokers, financial advisors, and other trusted professionals. He handles Florida litigation and nationwide FINRA arbitration. He has been recognized in The Best Lawyers in America® and named to the Best Law Firms® list.
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