OPINION OF THE COURT
READ, J.
In the early 1990s, John J. Fiero registered with the National Association of Securities Dealers, Inc. (NASD) (now called the Financial Industry Regulatory Authority, Inc. or FINRA), a self-regulatory organization (SRO), as a securities representative. Relatedly, Fiero Brothers—a broker-dealer firm owned by Fiero, the company's president and sole employee—became...
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