AGGRESSIVE ADVOCACY. UNPARALLELED SERVICE.

Colin Woolford | FINRA Disciplinary Action

March 30, 2021

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064465201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Colin Woolford (Respondent) Former General Securities Representative CRD No. 6512956 Pursuant to FINRA Rule 9216, Respondent Colin Woolford submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Case ID Number: 2019064465201

Previous
FINRA Disciplinary Actions March 2021
Next
Merrill Lynch, Pierce, Fenner & Smith Incorporated | FINRA Disciplinary Action

Related Posts

conference room where you can have free and confidential case evaluation

Contact Us for Your Confidential and Free Case Evaluation.

Buildings in Los Angeles

Financial District, Los Angeles

Visit The Los Angeles Office
Call (866) 760-5009 or
California homes

Business District, Newport Beach

Visit The Newport Beach Office
Call (866) 760-5009 or
The skyline of san francisco at sunset.

Financial District, San Francisco

Visit The San Francisco Office
Call (866) 760-5009 or