Ford O'Brien, LLP

December 2019 Archives

How can I reduce the severity of FINRA disciplinary actions?

A Financial Industry Regulatory Authority (FINRA) investigation under Rule 8210 isn’t something to panic about. Nor is it something to take lightly. Depending on the regulatory agency’s findings, yourself or your firm may face severe penalties. That can include a temporary or permanent ban from the industry or monetary fines.

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