EK RILEY INVESTMENTS LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/01/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043332501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: EK Riley Investments, LLC, Respondent CRD No. 121003 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent EK Riley Investments, LLC ("Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2015043332501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/15/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.## 20060040643-01 TO: Department of Market Regulation NASD RE: EK Riley Investments, LLC Respondent Broker-Dealer CRD No. 121003 Pursuant to Rule 9216 of NASD Code of Procedure, EK Riley Investments, LLC (the "firm") submits 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
Reference 2006004064301data-portal.finra.org finra.org

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