July 21st 2011 FINRA panel ban plan highly criticised


Any officers who formerly worked with FINRA would not be able to represent clients in disciplinary cases, the ban has not gone down well and has been well criticised. The ban will mean high ranking executives would be unable to appear on behalf of clients before hearing officers and panels at FINRA.

FINRA have hit back at the criticism claiming the ban will safeguard against influence in FINRA proceedings from former FINRA officers.

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