Tagged with "briefs"

FINRA Discipline: FINRA Rule 9241

Posted on January 10th, 2017 at 9:16 AM
FINRA Discipline: FINRA Rule 9241

This is the thirteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. 

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I want to extend a tremendous thank you for your dedication, professionalism, hard work and patient demeanor through this challenging time. It was enjoyable interacting with everyone on your team, this certainly helped while dealing with the situation and working towards resolution.

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