There is a little corner of the FINRA world that most people never have the need or desire to visit, and that’s the not-so-quaint village of statutory disqualification. SD, for short. I have written about this sad place many times, mostly about those poor souls who manage to end up here through confusion, or, too
SD
Body-Slammed By FINRA, Twice In A Week
By Alan Wolper on
Posted in Arbitration, Disciplinary Process, Enforcement, FINRA, PIABA, Rule 9555, Statutory Disqualification
I sometimes (well, perhaps frequently) use this blog as a vehicle to complain about certain things that FINRA does, or about certain of its rules, that I feel are just unfair, plain and simple. To show you that I am not simply making this up, I experienced two such events this past week, which I…
Statutorily Disqualified? FINRA Says “Deal With It”
By Alan Wolper on
It is a nasty thing when one becomes statutorily disqualified. It means either leaving the industry, permanently, or having to file an MC-400 and trying to convince FINRA that you should be permitted to remain in the industry, albeit subject to heightened supervision and extra scrutiny from FINRA. I have previously blogged about statutory disqualification,…