Articles Posted in OTR

Practitioners are familiar with the fact that a failure to respond to a FINRA Rule 8210 request almost automatically results in an industry bar.  Except when it doesn’t.  The Office of Hearing Officers (the “OHO”) recently published a decision in which it discussed what the Hearing Officer referred to as…

This is a classic case of buyer’s remorse.  In the case at hand, FA Jeffrey Mohlman settled with FINRA by executing a letter of Acceptance, Waiver and Consent (called an AWC) and, in so doing, agreed to a bar from the securities industry.  Apparently displeased with his decision, he filed…