FINRA Rule 5240 Anti-Intimidation/Coordination

FINRA Rule 5240 Anti-Intimidation/Coordination Posted on Thursday, September 1, 2016 at 4:03 PM From the Desk of Jim Eccleston at Eccleston Law LLC: FINRA Rule 5240 was enacted to stop fraudulent and manipulative actions in order to protect investors and the public interest. FINRA Rule 5240(a) specifically identifies three general types of conduct inconsistent with just a ...Read the full article