FINRA Discipline: FINRA Rule 9253

FINRA Discipline: FINRA Rule 9253 Posted on Friday, January 20, 2017 at 9:33 AM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the seventeenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9253 states that a respondent in a disciplinary proceeding has the right to file a motion requesting that FINRA produ ...Read the full article