Αποτελέσματα Αναζήτησης
Appeal. An Applicant may file a written notice of appeal within 15 calendar days after service of a decision issued under . The notice of appeal shall be filed with the Office of General Counsel of FINRA, with a copy of the notice also provided to the appropriate department or staff of FINRA.
review of disciplinary proceeding by national adjudicatory council and finra board; application for sec review 9310. Appeal to or Review by National Adjudicatory Council
FINRA’s By-Laws provide that formal disciplinary actions be resolved through the disciplinary hearing process. Enforcement’s filing of a Complaint with the Office of Hearing Officers commences a disciplinary proceeding, and the conduct of the proceeding is governed by FINRA’s Code of Procedure.
FINRA will bring enforcement actions to bar or suspend the firms and individuals involved. However, individuals and firms with a history of misconduct can pose a particular challenge for FINRA’s existing examination and enforcement programs.
8 Ιουλ 2022 · Since 2016, two-thirds of OHO disciplinary hearing panel decisions have been appealed at least once. Brokers with adverse OHO decisions should carefully balance, with the advice of seasoned FINRA defense counsel, the advantages and disadvantages of appealing their disciplinary decisions.
(t) Interested FINRA Staff The term Interested FINRA Staff means, in the context of: (1) No Change. (2) a proceeding under the Rule 9520 Series or Rule 9550 Series: (A) the head of the department or office that issues the notice or petition or is designated as a Party; (B) through (C) No Change .
12 Μαρ 2021 · Appeal to FINRA’s National Adjudicatory Council, which, in 2016, upheld the finding of liability and actually increased the sanctions. Appeal from the NAC to the SEC which, in 2017, remanded the case back to the NAC for a better explanation of its reasoning.
