FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Datesort ascending
Case ID 2016051009401 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051009401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Iain Patrick Reilly, Respondent General Securities Representative CRD No. 2197881 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Action Date 03/24/2017