FINRA Discipline: FINRA Rule 9242
From the Desk of Jim Eccleston at Eccleston Law LLC:
This is the fourteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9242 covers the requirement that parties furnish certain information prior to a hearing.
The hearing panel may order a party to furnish to all parties the following information, which includes but is not limited to: an outline or narrative summary of a party's case or defense; the legal theories upon which a party will rely on; a list and copies of documents that a party intends to introduce at the hearing; a list of witnesses who will testify at the hearing; and, if applicable, a statement of an expert's qualifications, a listing of other proceedings in which the expert has given expert testimony, and a list and copy of the expert's publications.
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Related Attorneys: James J. Eccleston
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