FINRA Discipline: FINRA Rule 9214

FINRA Discipline: FINRA Rule 9214 Posted on Thursday, December 8, 2016 at 9:00 AM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the fourth of a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9214 gives authority to the chief hearing officer to order the consolidation of two or more disciplinary proceedings und ...Read the full article