FINRA Discipline: FINRA Rule 9211- Authorization of Complaint

FINRA Discipline: FINRA Rule 9211- Authorization of Complaint Posted on Tuesday, November 29, 2016 at 11:55 AM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the first of a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9211 provides authority to the Department of Enforcement or the Department of Market Regulat ...Read the full article