FINRA Discipline: FINRA Rule 9221

FINRA Discipline: FINRA Rule 9221 Posted on Saturday, December 17, 2016 at 10:00 AM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the seventh of a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9221 states that when a respondent files an answer to a FINRA disciplinary complaint, he or she may request a hearing ...Read the full article