GEORGE E. REILLY

11/05/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GEORGE REILLY (CRD No. 1523041), Respondent. Disciplinary Proceeding No. 2006006518904 Hearing Officer-MAD DEFAULT DECISION November 5, 2009 Respondent violated conduct Rules 3010 and 2110 by (i) failing to establish, maintain, and enforce an adequate supervisory system and procedures, and (ii) failing to adequately

Reference 2006006518904data-portal.finra.orgfinra.org

01/25/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GEORGE E. REILLY (CRD No. 1523041), Respondent. Disciplinary Proceeding No. 20070119379-02 Hearing Officer - RSH DEFAULT DECISION January 25, 2010 Respondent violated Procedural Rule 8210 and Conduct Rule 2010 by failing to respond to requests for information. For this violation, Respondent was barred from associating with any member firm in any capacity. Appearances Lara Thyagarajan, Senior

Reference 2007011937902data-portal.finra.orgfinra.org

05/05/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. GEORGE E. REILLY(CRD No. 1523041), Respondent. Disciplinary Proceeding No. 2007007329501 Hearing Officer - MC DEFAULT DECISION Respondent violated Conduct Rules 2110 and 3010 by (i) failing to establish and maintain an adequate supervisory system and supervisory procedures, and (ii) failing to supervise to ensure that markups charged to customers in connection with collateralized mortgage obligation

Reference 2007007329501data-portal.finra.orgfinra.org

06/19/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2005004601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Chicago Investment Group, LLC Member CRD No. 11853 Richard Lynch Registered Principal CRD No. 1938604 George Reilly Registered Principal CRD No. 1523041 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Chicago Investment Group, LLC, Richard Lynch and George Reilly [or Respondents] submit this Letter of Acceptance,

Reference E8A2005004601finra.orgdata-portal.finra.org