FINRA Discipline: FINRA Rule 9213

FINRA Discipline: FINRA Rule 9213 Posted on Tuesday, December 6, 2016 at 9:18 AM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the third of a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9213 gives authority to the Office of Hearing Officers to assign a Hearing Officer to preside over the disciplinary procee ...Read the full article