Tagged with "rule 8210"

Responding to FINRA Enforcement 8210 Inquiries – Part 2

Posted on February 25th, 2020 at 3:31 PM
Responding to FINRA Enforcement 8210 Inquiries – Part 2

This is the second part of a three-part series.

As discussed in part one of this three-part series, written inquiries made pursuant to FINRA Rule 8210 are a tool used by FINRA Enforcement when investigating registered representatives for potential violations.  Rule 8210 requires registered representatives to comply with FINRA’s requests for information and documents.

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FINRA Bars Former Cetera Broker George Merhoff

Posted on June 20th, 2019 at 10:00 AM
FINRA Bars Former Cetera Broker George Merhoff

The Financial Industry Regulatory Authority (“FINRA”) recently barred George C. Merhoff Jr. from the securities industry for refusing to cooperate in FINRA’s Rule 8210 inquiry.

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FINRA Bars Nina Jessee after Receiving 23 Customer Complaints

Posted on June 18th, 2019 at 12:42 PM
FINRA Bars Nina Jessee after Receiving 23 Customer Complaints

The Financial Industry Regulatory Authority (“FINRA”) recently barred Nina S. Jesse from the securities industry for refusing to cooperate in FINRA’s Rule 8210 inquiry.

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