Proceeding Number 2011028061001

Hearing Panel Decision in Department of Enforcement v. Keilen Dimone Wiley

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 FINRA member in any capacity. One Panelist dissents.

 

This decision has been appealed or called for review. While the appeal or call for review is pending, the findings and sanctions imposed in this decision are subject to review and modification by FINRA or the SEC.

View Decision (PDF 102 KB)