JAMES FRANCIS O'REILLY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/02/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064977701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James F. O’Reilly (Respondent) Former General Securities Representative CRD No. 2209758 Pursuant to FINRA Rule 9216, Respondent James F. O’Reilly submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019064977701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2209758

Other names1

Also known as1

James F. O'Reilly

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