Tagged with "gregory clark"

FINRA Panel Denies Former Advisor Opportunity to Defend Himself

Posted on January 13th, 2020 at 2:29 PM
FINRA Panel Denies Former Advisor Opportunity to Defend Himself

A Financial Industry Regulatory Authority Inc. ("FINRA") arbitration panel recently concluded an arbitration case involving a former Raymond James advisor with a promissory note balance. The case is unique because the arbitrators denied the rep an opportunity to present testimony, witnesses or evidence, as a sanction for failing to file his answer in a timely manner.

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Arbitrators deny ex-advisor chance to defend himself in Raymond James case

Posted on January 10th, 2020 at 9:08 AM
Arbitrators deny ex-advisor chance to defend himself in Raymond James case

They say everyone gets their day in court — except maybe Gregory Clark, a former Raymond James advisor whose FINRA arbitration case ended without his testimony, witnesses or evidence.

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