ROSELYN L RILEY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048622901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roselyn L. Riley, Respondent Former Registered Representative CRD No. 4197633 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2016048622901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4197633

Other names1

Also known as1

ROSELYN L. RILEY

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