FINRA Discipline: FINRA Rule 9241

FINRA Discipline: FINRA Rule 9241 Posted on Tuesday, January 10, 2017 at 9:16 AM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the thirteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9241 covers the rules associated with a pre-hearing conference during the disciplinary proceeding.Read the full article