KEILEN DIMONE WILEY

04/29/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEILEN DIMONE WILEY (CRD No. 4259612), Respondent. Disciplinary Proceeding No. 2011028061001 Hearing Officer - MC HEARING PANEL DECISION April 29, 2014 Respondent Keilen Dimone Wiley violated FINRA Rule 2010 when he converted customer insurance premiums to his own use. He violated FINRA Rules 8210 and 2010 when he provided false testimony to FINRA. He is barred from associating with any

02/13/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEILEN DIMONE WILEY (CRD No. 4259612), Respondent. DISCIPLINARY PROCEEDING No. 2011028061001 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Keilen Dimone Wiley ("Wiley") collected approximately $6,500 in property and casualty insurance premiums from insurance customers, deposited

02/27/2015: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Keilen Dimone Wiley Houston, TX, Respondent DECISION Complaint No. 2011028061001 Dated: February 27, 2015 Respondent converted customer insurance premium payments, and provided false on-the-record testimony to FINRA. Held, findings and sanction affirmed. Appearances For the Complainant: Carolyn J. Craig, Esq., Department of Enforcement, Financial Industry

12/04/2015: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 RECEIVED Release No. 76558 / December 4, 2015 Admin. Proc. File No. 3-16461 In the Matter of the Application of KEILEN DIMONE WILEY, For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS Conversion of firm funds

Reference 2011028061001data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org