FINRA Discipline: FINRA Rule 9212- Complaint Issuance

FINRA Discipline: FINRA Rule 9212- Complaint Issuance Posted on Friday, December 2, 2016 at 12:34 PM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the second of a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9212 provides a guideline for the appropriate form, content, notice, docketing, and service for any c ...Read the full article