Under the applicable Financial Industry Regulatory Rules (“FINRA”), whenever a registered representative is terminated from a broker-dealer (“BD”), registered investment advisor (“RIA”) or other type of issuer of securities which is a member of FINRA, the firm is...
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Attorney Michael Cosentino Moderates BBA Webinar on FINRA Rules 8210, 9552 and the Extraordinary Circumstances Required to Merit Remand
Attorney Cosentino was joined by panel members Robert Fisher, William Haddad and Geoffrey Millsom. https://www.youtube.com/embed/bm3sNzYLHic
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