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: Securities Law Prof Blog

FINRA NAR Rule Impermissibly Retroactive as Applied to Banned Broker

By Securites Lawprof

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The Ninth Circuit held that a FINRA rule that prohibited non-attorneys who have been banned from the securities industry from representing parties in securities arbitrations was impermissibly retroactive as applied to Richard Sacks, who was banned from the securities industry...

Full post as published by Securities Law Prof Blog on February 23, 2011 (boomark / email).

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