FINRA has been conducting an investigation regarding an allegation that I was selling away. They’ve now offered me the choice of entering into a settlement of the charges or proceeding to a disciplinary hearing. I don’t think I did anything wrong, but my attorney says we should settle. I know you can’t tell me what to do without knowing all the details, but what happens if I want to go to a hearing?
Breaking this down logically, your two options are to either tell FINRA you’re willing to discuss a settlement of the allegations, or that you’re not willing to discuss settlement.
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