ROY GOLLADAY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/24/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001378601 TO: Department of Enforcement NASD RE: Roy Golladay, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 1856856 Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any
Reference 2005001378601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1856856

Other names1

Also known as1

ROY GOLLADAY, JR

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