FINRA Discipline: FINRA Rule 9213
From the Desk of Jim Eccleston at Eccleston Law LLC:
This is the third of a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9213 gives authority to the Office of Hearing Officers to assign a Hearing Officer to preside over the disciplinary proceeding after FINRA enforcement has filed a complaint. The rule also requires the Hearing Officer to serve all parties with notice of the complaint.
Moreover, the Chief Hearing Officer also will appoint two additional panelists pursuant to Rules 9231 and 9232 to a hearing panel or to an extended hearing panel.
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Related Attorneys: James J. Eccleston
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