Tagged with "Hearing Officer"

FINRA Discipline: FINRA Rule 9269

Posted on January 31st, 2017 at 9:16 AM
FINRA Discipline: FINRA Rule 9269

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

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FINRA Discipline: FINRA Rule 9268

Posted on January 28th, 2017 at 10:00 AM
FINRA Discipline: FINRA Rule 9268

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

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FINRA Discipline: FINRA Rule 9261

Posted on January 24th, 2017 at 8:54 AM
FINRA Discipline: FINRA Rule 9261

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

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FINRA Discipline: FINRA Rule 9253

Posted on January 20th, 2017 at 9:33 AM
FINRA Discipline: FINRA Rule 9253

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

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FINRA Discipline: FINRA Rule 9252

Posted on January 18th, 2017 at 9:07 AM
FINRA Discipline: FINRA Rule 9252

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

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FINRA Discipline: FINRA Rule 9235

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

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

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FINRA Discipline: FINRA Rule 9233

Posted on January 5th, 2017 at 9:36 AM
FINRA Discipline: FINRA Rule 9233

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

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FINRA Discipline: FINRA Rule 9231

Posted on December 24th, 2016 at 10:00 AM
FINRA Discipline: FINRA Rule 9231

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

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FINRA Discipline: FINRA Rule 9222

Posted on December 21st, 2016 at 8:59 AM
FINRA Discipline: FINRA Rule 9222

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

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FINRA Discipline: FINRA Rule 9220

Posted on December 15th, 2016 at 10:04 AM
FINRA Discipline: FINRA Rule 9220

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

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If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, Eccleston Law Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it Eccleston Law.

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LATEST NEWS AND ARTICLES

December 3, 2021
FINRA Issues Fine to Small Advisory Firm Over Material Misrepresentations

The Financial Industry Regulatory Authority has censured and issued a $250,000 fine to a Los Angeles-based advisory firm, WestPark Capital Inc., for making material misrepresentations pertaining to promissory notes offered by its parent company.

December 2, 2021
FINRA Imposes Suspension on Ohio-Based Advisor Over Outside Investments

The Financial Industry Regulatory Authority (FINRA) has issued a one-year suspension and $12,500 fine to an Ohio-based advisor, William LeBoeuf, who worked at Merrill Lynch and Cetera Advisor Networks when the violations occurred.

December 1, 2021
SEC Charges Former Illinois Edward Jones Advisor With Fraud

The Securities and Exchange Commission (SEC) has charged a former Illinois-based investment advisor, Ronald Molo, with defrauding three clients out of at least $800,000.