Do You Need a FINRA Defense Attorney?
You may have read that Rhett Douglas Bedwell of Bentonville, Arkansas was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rule 8210 and 2010.
In November 2017, Rhett Douglas Bedwell joined LPL Financial LLC and became registered as a General Securities Representative. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) on September 9, 2020, disclosing that Bedwell had been terminated due to alleged misconduct. According to the findings, FINRA sent Bedwell a request to provide documents and information in connection with their investigation into his activities because of allegations from customers. The findings state that Bedwell responded to FINRA during his counsel’s phone call, stating that he allegedly received, acknowledged, and refused the request to provide the documents and information at any time. Although Rhett Douglas Bedwell is not currently associated with any FINRA member firm, she remains subject to FINRA’s jurisdiction.
Unfortunately, Rhett Douglas Bedwell might have avoided that FINRA 8210 bar from the securities industry with a skilled and experienced FINRA 8210 defense attorney. It is important, early on, to have a FINRA defense attorney advise you on how not to make matters worse and resolve the dispute with the least amount of sanctions which could range from censures to fines, suspensions, permanent bars, and/or referrals to federal or state prosecutors. You will need an experienced FINRA defense lawyer who not only has knowledge of FINRA rules and procedures, the securities laws and the appropriate sanction for the alleged misconduct but also has an excellent reputation and credibility with the FINRA attorneys to negotiate the best outcome.
Free Initial Consultation With FINRA 8210 Defense Attorney Serving Financial Advisors Throughout Bentonville, Arkansas And Nationwide
The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in FINRA securities law matters and works tirelessly to secure the best possible result for you and your case. Attorney Pearce’s FINRA defense skills are highly regarded throughout Arkansas and across the nation. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of FINRA disputes serving Arkansas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.