The E. Barrett Prettyman U.S. Courthouse, home of the U.S. Court of Appeals for the District of Columbia Circuit. Photo by Diego Radzinschi/ALM FINRA Lifetime Bans Come Into Question Before the DC Circuit
Depending on how the court rules this month, we may see fewer bans as FINRA becomes more selective about when to pursue this severe sanction.
September 21, 2020 at 11:30 AM
5 minute read
The U.S. Court of Appeals for the District of Columbia Circuit will hear arguments this month in a case that could limit the Financial Industry Regulatory Authority's ability to ban brokers from the securities industry.
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