FINRA Discipline: FINRA Rule 9264

FINRA Discipline: FINRA Rule 9264 Posted on Thursday, January 26, 2017 at 9:18 AM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the nineteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9264 states that a respondent or FINRA has opportunity to file a motion for summary disposition after the respondent ...Read the full article