FINRA Discipline: FINRA Rule 9213

Posted on December 6th, 2016 at 9:18 AM
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. 

The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial advisors including breakaway broker servicesemployment mattersstrategic consulting and counselingbroker litigation and arbitration,whistleblower actions, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one consultation today.  

Related Attorneys: James J. Eccleston

Tags: Eccleston, Eccleston Law, Eccleston Law LLC, James Eccleston, FINRA, Rule 9213, Office of Hearing Officers, Hearing Officer, Chief Hearing Officer, Rule 9231, Rule 9232, hearing panel,

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We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.

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