FINRA Rule 8210(a)(1) – Global Relay Intelligence & Practice

FINRA Rule 8210(a)(1)

Enforcement

FINRA sues broker at center of investor complaints, cites failure to testify

August 18, 2025

Registered rep failed to respond to two FINRA staff requests to provide information and documents, and another two requests to appear for on-the record testimony.

Julie DiMauro2 min read