Last Updated: March 2025 | Roanoke, VA
Ryan Clayton Investigation Summary
Here’s what you need to know about Roanoke, VA, stockbroker Ryan Clayton:
- Name: Mr. Ryan D. Clayton
- Current Status: Barred by FINRA from acting as a broker
- Prior Employers:
- Merrill Lynch, Pierce, Fenner & Smith Incorporated (08/2023 – 08/2024)
- First Citizens Investor Services, Inc. (05/2022 – 06/2023)
- Wells Fargo Clearing Services, LLC (08/2017 – 05/2022)
- Function: Stockbroker / Financial Advisor
- Primary Location: Roanoke, VA
- CRD Number: 6833882
- Can Ryan Clayton be sued in FINRA arbitration? Yes
- Sanctioned by FINRA? Yes
- Terminated by a prior employer: Yes
If you’ve sustained damages from Mr. Clayton, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Ryan Clayton As Your Stockbroker?
FINRA barred Ryan Clayton from association with any member firm in February 2025 after he failed to respond to FINRA’s requests for information.
- Regulatory Action Date: November 8, 2024
- Case Number: 2024083017701
- Sanction: Permanent Bar from the Securities Industry (Effective February 11, 2025)
- Allegation: Failure to provide requested information to FINRA in connection with regulatory investigation
Additionally, Merrill Lynch discharged Clayton in July 2024 after discovering alteration of client documents.
Investigations involving forgery by financial advisors
Allegations of Broker Misconduct Against Ryan Clayton
Customers and regulators have reported the following allegations against Ryan Clayton:
- Failure to Respond to Regulatory Requests: FINRA Rule 9552 requires brokers to provide requested information. Clayton’s failure to comply resulted in a permanent industry bar.
- Employment Termination Due to Document Alteration: Merrill Lynch, his employer at the time, discharged Clayton for modifying client documents, raising concerns about potential fraudulent activities.
- Regulatory Sanctions: FINRA formally suspended and later permanently barred Clayton after he failed to respond to official inquiries, which is a violation of FINRA Rule 8210, requiring brokers to provide information upon request.
Recover Your Investment Losses Now With Rex Securities Law
See this for our prior investigations of Merrill Lynch brokers.
If you have suffered investment losses in an account handled by Ryan Clayton, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.