The Financial Industry Regulatory Authority (“FINRA”) recently barred Rand A. Heckler from the securities industry for refusing to cooperate in FINRA’s Rule 8210 inquiry.
Tagged with "FINRA Rule 8210"
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FINRA Bars Rand Heckler, Former Financial Adviser of Benjamin & Jerold Brokerage
Posted on June 21st, 2019 at 3:54 PM
A Primer on FINRA’s Rule 8210 (and Rule 9552) Investigation Process
Posted on October 7th, 2015 at 9:15 AM
Financial advisors may find themselves to be the subject of a FINRA investigation conducted pursuant to FINRA Rule 8210. Brokers absolutely should retain competent securities counsel to help them.
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