C WALTER RIES

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016149701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: C. Walter Ries, Respondent General Securities Representative CRD No. 846279 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, C. Walter Ries, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2009016149701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	846279

Other names1

Also known as1

C. WALTER RIES

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