FINRA Discipline: FINRA Rule 9215

FINRA Discipline: FINRA Rule 9215 Posted on Monday, December 12, 2016 at 12:44 PM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the fifth of a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9215 states that each respondent named in a complaint must serve an answer to the complaint within 25 days after service.Read the full article