James Willard Clark

James Willard Clark (CRD #1225726, Registered Principal, Frisco, Texas) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000 and suspended from association with any NASD member in any principal or supervisory capacity for 30 days. Without admitting or denying the allegations, Clark consented to the described sanctions and to the entry of findings that he failed to supervise a registered representative's offers and sales of securities that were unsuitable for the customer because they were, among other things, inconsistent with the customer's objectives. NASD also found that Clark failed to supervise the registered representative's unsuitable sale of a variable annuity to a public customer. Clark's suspension began on February 6, 2006, and concluded at the close of business on March 7, 2006. (NASD Case #E062003043402)

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Contact Information

The Law Office of David Liebrader, Inc.


601 S. Rancho Drive, Ste.#D-29
Las Vegas, NV 89106
Phone: 702-380-3131
Fax: 702-380-3102
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