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12202. Claims Against Inactive Members and Inactive Associated Persons

(a) A claim by or against a member or an associated person who is inactive at the time the claim is filed is ineligible for arbitration under the Code unless the customer agrees in writing to arbitrate after the claim arises.
(b) If a member or an associated person becomes inactive during a pending arbitration, FINRA will notify the customer about the status change.

12100. Definitions

Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit documents and information and view their arbitration and mediation case information and document

2018058988801 Paolo Monaco CRD 6335521 AWC sl (2020-1584836371929).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058988801 To: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paolo Monaco. Respondent Former Registered Representative CRD No. 6335521 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Paolo Monaco submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the
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