FINRA Discipline: FINRA Rule 9235

Posted on January 7th, 2017 at 8:45 PM
FINRA Discipline: FINRA Rule 9235

From the Desk of Jim Eccleston at Eccleston Law LLC:

This is the twelfthin a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9235 lays outa hearing officer’s authority during the FINRA disciplinary proceeding.

According to the rule, the hearing officer has the power to do all things necessary and appropriate to discharge his or her duties. These duties include, but are not limited to:

holding pre-hearing and other conferences;

regulating the course of the hearing;

ordering the parties to present oral arguments at any stage of the disciplinary proceeding;

resolving any procedural and evidentiary matters, discovery requests, and motions;

creating and maintaining the official record of the disciplinary proceeding; and

drafting a decision that represents the views of the majority of the hearing panel.

If the appointed hearing officer is unable for any reason to discharge his or her duties in the disciplinary proceeding, the chief hearing officer or the deputy chief hearing officer will take over and exercise the same authority.

 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 CFP Board DefenseTransition Contract ReviewBroker Litigation and ArbitrationPromissory Note Defense, 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, James Eccleston, Eccleston Law LLC, FINRA, FINRA Rule 9235, hearing officer,

Return to Archive



I am so blessed to have you and your dynamic team defending me. Your ethics, forward thinking and strategies are amazing.  You guys are the best group of attorneys in the country that I could hire to handle this complicated case.

Cindy C.


November 28, 2023
Arbitration Mandated for Former Morgan Stanley Advisors' Class Claim on Deferred Compensation

A federal judge in Manhattan has granted Morgan Stanley’s request to transfer a potential class action lawsuit to arbitration.

November 28, 2023
Wells Fargo Under SEC Scrutiny for Cash Sweep Programs

The Securities and Exchange Commission (SEC) is investigating Wells Fargo & Company over cash sweep options provided to investment advisory clients.

November 22, 2023
FINRA Alleges $2 Million in Client Losses and $2 Million in Commissions Due to Advisor's Churning

According to a Financial Industry Regulatory Authority (FINRA) complaint, Stewart "Paxton" Ginn excessively traded accounts over two and a half years, resulting in $2.22 million in losses and $2.24 million in commissions for him and his firm.