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FINRA ENFORCEMENT SEEKS BAR FOR FAILURE TO ATTEND AN OTR AND GETS DENIED BY THE OHO

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…

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