FINRA Discipline: FINRA Rule 9251

FINRA Discipline: FINRA Rule 9251 Posted on Saturday, January 14, 2017 at 10:30 AM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the fifteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9251 identifies the types of documents that should be made available to respondents by FINRA for inspection and copy ...Read the full article