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2008 OHO Disciplinary Decisions | The following disciplinary decisions have been published, in accordance with Rule IM-8310-2, to assist visitors in researching FINRA Hearing Panel disciplinary decisions. All Hearing Panel Decisions are based on the facts and circumstances arising in those disciplinary proceedings. Any Hearing Panel decision that has been appealed or called for review is marked with a *. Upon appeal or review, the National Adjudicatory Council may affirm, dismiss, modify, or reverse any of the findings made by the Hearing Panel; and the NAC may affirm, modify, reverse, increase, or reduce the sanctions imposed by the Hearing Panel, or may impose any other fitting sanctions.
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