JAMES ROBERT RIOLO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/05/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022499001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Robert Riolo, Respondent CRD No. 2609419 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James Robert Riolo, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if
Reference 2010022499001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2609419

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