USA: FINRA files disciplinary action against individual

Posted by nileshkokane on 22 February, 2011

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This item was filled under [ Featured, Financial Regulators, USA ]

As per Disciplinary Actions Report for January 2011, Financial Industry Regulatory Authority (FINRA) published that Eric Robinson Elliott was revoked from November 22, 2010 for failing to pay fines and/or costs pursuant to FINRA Rule 8320.

The original article can be found at Financial Industry Regulatory Authority.

Courtesy: pcpro.co.uk

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Tagged with: [ compliance risk, disciplinary actions, Eric Robinson Elliott, Financial Industry Regulatory Authority, fines, FINRA, regulatory risk, revoked, USA ]

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