FINRA Bars Roselyn L. Riley, Former Raymond James Broker

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) Roselyn L. Riley has been barred from the industry. She has been accused of issuing herself checks totaling more than $5,000 drawn from her firm’s branch operating account and using the money to pay for personal expenses. For this, she was barred from the industry, as it is against securities rules and regulations. She was registered with Quick & Reilly in New York, New York from August 2004 until October 2004, Banc of America Investment Services in Boston, Massachusetts from October 2004 until November 2004 and Raymond James Financial Services in Neptune Beach, Florida from November 2004 until January 2016. She has a criminal charge against her. Please call our securities law firm to speak to an attorney about your options of suing Riley’s former firm, Raymond James, in the FINRA arbitration forum to recover lost investments. We sue firms such as Raymond James on behalf of investors to recover investment losses. The call is free and attorneys are standing by. Please call soon as there is a statute of limitations for most of these cases.

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