Tagged with "transcripts"

FINRA Discipline: FINRA Rule 9251

Posted on January 14th, 2017 at 10:30 AM
FINRA Discipline: FINRA Rule 9251

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

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TESTIMONIALS

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We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.

Allan and Adele

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