HIWU Public Disclosures

*Multiple Violations

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  • Note: This table may be updated seven days a week. Updates will typically be made between 12-5 p.m. ET.
  • Final Decisions of HIWU, the Arbitral Body, and the Internal Adjudication Panel are subject to review by a federal Administrative Law Judge under 15 U.S.C. 3058, and such review must be requested within 30 days of notice to the Covered Person.
  • All final decisions are subject to review by a federal Administrative Law Judge if the Covered Person requests the review within 30 days.