DOUGLAS EDMOND INLAY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/09/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Douglas Edmond Inlay (CRD No. 4770488) Respondent. DISCIPLINARY PROCEEDING No. 2010023753901 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between November 2009 and April 2010 ("the relevant period"), while working as an insurance agent for Liberty Mutual ("LM"), Douglas E. Inlay ("Inlay"
08/03/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DOUGLAS EDMOND INLAY (CRD No. 4770488), Respondent. Disciplinary Proceeding No. 2010023753901 Hearing Officer-LOM DEFAULT DECISION August 3, 2012 Respondent is barred from associating with any FINRA member in any capacity for conversion of customer funds in violation of FINRA Rule 2010. Respondent also is barred from
Reference 2010023753901data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4770488

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