Michael Gross

Michael Gross

UB Greensfelder LLP

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Does FINRA Have Jurisdiction Over Me?

Does FINRA have jurisdiction over me? This is a question that I regularly field at the outset of regulatory engagements. My answer differs depending on a number of factors, including the nature of a person’s role and duties...more

2/12/2019  /  Arbitration Agreements , Associated Persons , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Jurisdiction , Professional Disciplinary Actions
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