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DARYL WINFIELD RILEY

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daryl Winfield Riley, CRD No. 1190212, Respondent. Disciplinary Proceeding No. 2009018214701 Hearing Officer Maureen A. Delaney ORDER ACCEPTING OFFER OF SETTLEMENT Date: 12-7-2012 INTRODUCTION Disciplinary Proceeding No. 2009018214701 was filed on June 20, 2012, by the Department of Enforcement of the Financial Industry

    06/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daryl Winfield Riley (CRD No. 1190212), Respondent. DISCIPLINARY PROCEEDING No.2009018214701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Over a two year period, between February 2007 and May 2009 (the "Relevant Period"), Daryl Winfield Riley ("Riley") exercised discretion for approximately 1,495 solicited

    Reference 2009018214701data-portal.finra.orgdata-portal.finra.orgfinra.org

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