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

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

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