Recent Posts

Fenton, Michigan FINRA Securities Arbitration Lawyer

Did Candice Montie Cause You Investment Losses? Candice Montie of Fenton, Michigan submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which she was fined $5,000 and suspended from association with any FINRA member in all capacities for a period of three months. The sanctions were based on findings that she participated in private securities transactions in violation of FINRA Rules 3280 and 2010. The suspension was in effect from April 19, 2021, through July 18, 2021. In November 2013, Candice Montie joined Moloney Securities and became registered as an Investment Company/Variable Contracts Products Representative and a General Securities Representative. According to FINRA’s findings, Montie participated in four private securities transactions involving $150,000 through another firm without providing prior written notice to Moloney Securities. The findings state that Montie assisted the investors with completing the paperwork, gathered the signed documents, answered the investors questions, coordinated all payments, and scanned and transmitted the required paperwork to the other broker-dealer to complete the transactions. Although Candice Montie is no longer registered or associated with a FINRA member, she remains subject to FINRA’s jurisdiction. FINRA Rule 3280 requires that, prior to participating in a private securities transaction, a person associated with a member firm shall provide written notice to his or her firm “describing in detail the proposed transaction and the person’s proposed role therein[.]” FINRA Rule 3280 defines a private securities transaction as “any securities transaction outside the regular course or scope of an associated person’s employment with a member.” A violation of FINRA Rule 3280 is also a violation of FINRA Rule 2010. Do You Need a Michigan FINRA Securities Arbitration Attorney? Are you a Michigan investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Michigan stockbroker or investment advisor misrepresent facts, fail to disclose facts making the statements made false and misleading, recommend unsuitable investments or strategies, excessively trade or churn, mismanage your investment account or engage in other kinds of stockbroker misconduct? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA securities arbitration attorney—a lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases as well as other complex legal issues.  Free Initial Consultation With Experienced FINRA Securities Arbitration Lawyers Serving Fenton, Michigan Residents In FINRA Arbitration Proceedings At The Law Offices of Robert Wayne Pearce, P.A.  we represent investors in all kinds of securities, commodities and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout Michigan, and across the United States on a CONTINGENCY FEE basis which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities and investment law disputes serving Michigan citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Continue Reading

Monticello, Indiana FINRA Defense Lawyers

Do You Need a FINRA Defense Attorney? You may have read that William James Novack of Monticello, Indiana 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. From August 2018 through September 2019, William James Novack was registered with Cambridge Investment Research, Inc. as a General Securities Representative. According to the findings, FINRA sent Novack a request to appear for an on-the-record testimony regarding the termination of another Cambridge registered representative, who was believed to have been allowing a barred individual to conduct a securities business. The findings state that Novack responded to FINRA through email, stating that he allegedly received, acknowledged, and refused the request to appear for an on-the-record testimony at any time. Although William James Novack is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210 states, in relevant part, that FINRA has the right to require a “person subject to FINRA’ s jurisdiction to provide information orally, in writing, or electronically with respect to any matter involved in the investigation, complaint, examination or proceeding.” FINRA Rule 8210 also specifies that “no person shall fail to provide information or testimony pursuant to this Rule.” A failure to provide information and/or testimony requested by FINRA pursuant to Rule 8210 violates Rule 8210. Conduct that violates FINRA Rule 8210 also violates FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principals of trade. “ Unfortunately, William James Novack 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 Monticello, Indiana 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 Indiana 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 Indiana citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Continue Reading

Thornwood, New York FINRA Defense Lawyers

Do You Need a FINRA Defense Attorney? You may have read that Stephen J. Stancarone of Thornwood, New York 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 October 2017, Stephen J. Stancarone joined Edward Jones and became registered as a General Securities Representative. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) on October 2, 2020, disclosing that Stancarone had been discharged due to alleged misconduct. According to the findings, FINRA sent Stancarone a request to appear for an on-the-record testimony over concerns that he continued to hold accounts at another broker-dealer after being denied by his firm and converted the funds for benefiting performance measures. The findings state that Stancarone responded to FINRA during a phone call, stating that he allegedly received, acknowledged, and refused the request to appear for an on-the-record testimony at any time. Although Stephen J. Stancarone is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210 states, in relevant part, that FINRA has the right to require a “person subject to FINRA’ s jurisdiction to provide information orally, in writing, or electronically with respect to any matter involved in the investigation, complaint, examination or proceeding.” FINRA Rule 8210 also specifies that “no person shall fail to provide information or testimony pursuant to this Rule.” A failure to provide information and/or testimony requested by FINRA pursuant to Rule 8210 violates Rule 8210. Conduct that violates FINRA Rule 8210 also violates FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principals of trade. “ Unfortunately, Stephen J. Stancarone 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 Attorneys Serving Financial Advisors Throughout Thornwood, New York 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 New York 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 New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Continue Reading

Bentonville, Arkansas FINRA Defense Lawyers

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.

Continue Reading

West Palm Beach, Florida FINRA Defense Lawyers

You may have read that Nedjeen Baptiste of West Palm Beach, Florida was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because she failed to comply with FINRA Rule 8210 and 2010. In May 2015, Nedjeen Baptiste joined J.P. Morgan Securities LLC while registered as an Investment Company and Variable Contracts Products Representative. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) on July 14, 2020, disclosing that Baptiste’s registration was terminated due to alleged misconduct. According to the findings, FINRA sent Baptiste a request to provide documents and information in connection with their investigation into whether Baptiste participated in an unapproved outside business activity. The findings state that Baptiste responded to FINRA through email, stating that she allegedly received, acknowledged, and refused the request to provide the documents and information. Although Nedjeen Baptiste is no longer associated with any FINRA member firm, she remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA staff shall have the right to “require a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically…with respect to any matter involved in the investigation, complaint, examination, or proceeding.” A failure to comply with a request for documents and information issued pursuant to FINRA Rule 8210 is a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, Nedjeen Baptiste 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 West Palm Beach, Florida 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 West Palm Beach, 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 West Palm Beach, Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Continue Reading

Murrieta, California FINRA Defense Lawyers

You may have read that Jeremy Taylor Johnson of Murrieta, California 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 2019, Jeremy Taylor Johnson joined Torch Securities while registered as a Private Securities Offerings Representative. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) on April 21, 2020, disclosing that Johnson had been discharged due to alleged misconduct. According to the findings, FINRA sent Johnson a request to appear for an on-the-record testimony regarding their investigation into the suitability and potential misrepresentations and omissions related to his sale of two securities offerings. The findings state that Johnson responded to FINRA during a phone call, stating that he allegedly received, acknowledged, and refused the request to appear for an on-the-record testimony at any time. Although Jeremy Taylor Johnson is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210 states, in relevant part, that FINRA has the right to require a “person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically with respect to any matter involved in the investigation, complaint, examination or proceeding.” FINRA Rule 8210 also specifies that “no person shall fail to provide information or testimony pursuant to this Rule.” A failure to provide information and/or testimony requested by FINRA pursuant to Rule 8210 violates Rule 8210. Conduct that violates FINRA Rule 8210 also violates FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principals of trade.” Unfortunately, Jeremy Taylor Johnson 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 Murrieta, California 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 California 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 California citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Continue Reading

Rowlett, Texas FINRA Defense Lawyers

You may have read that George Marshall Warner of Rowlett, Texas 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 September 2017, George Marshall Warner joined Chelsea Financial Services while registered as a General Securities Representative and an Investment Company and Variable Contracts Products Representative. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) disclosing that he had been terminated for alleged misconduct. According to the findings, FINRA sent Warner a request to provide documents and information in connection with their investigation into his potential participation in undisclosed private securities transactions. The findings state that Warner responded to FINRA through email, stating that he allegedly received, acknowledged, and refused the request to provide the documents and information. Although George Marshall Warner is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA staff shall have the right to “require a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically…with respect to any matter involved in the investigation, complaint, examination, or proceeding.” A failure to comply with a request for documents and information issued pursuant to FINRA Rule 8210 is a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, George Marshall Warner 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 Attorneys Serving Financial Advisors Throughout Rowlett, Texas 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 Texas 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 Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Continue Reading

Centereach, New York FINRA Securities Arbitration Attorney

Did Corey Alexander Johnson Cause You Investment Losses? Corey Alexander Johnson of Centereach, New York was fined $5,000 and suspended from association with any FINRA member in all capacities for a period of 30 days. The sanctions were based on findings that he allegedly exercised discretionary trading without authorization in violation of NASD Rule 2510 (b) and FINRA Rule 2010. The suspension was in effect from April 19, 2021, through May 18, 2021. In June 2011, Corey Alexander Johnson joined Aegis Capital Corp. and became registered as a General Securities Representative. According to FINRA’s findings, from April 2017 through April 2019, Johnson exercised discretionary trading in five customers’ accounts effecting approximately 1,358 transactions. The findings state that prior to placing the trades, Johnson  allegedly failed to obtain authorization from the customers to exercise discretion in their accounts and Aegis did not accept any of the accounts as discretionary accounts, therefore violating NASD Rule 2510(b) and FINRA Rule 2010. NASD Rule 2510(b) prohibits registered representatives from “exercising any discretionary power in a customer’s account” unless the customer has provided prior written authorization to the representative and the account has been accepted as a discretionary account, in writing, by the representative’s member firm. A violation of NASD Rule 2510(b) is also a violation of FINRA Rule 2010. Do You Need a New York FINRA Securities Arbitration Attorney? Are you a Centereach, New York investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your New York stockbroker or investment advisor misrepresent facts, fail to disclose facts making the statements made false and misleading, recommend unsuitable investments or strategies, excessively trade or churn, mismanage your investment account or engage in other kinds of stockbroker misconduct? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA securities arbitration attorney—a lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases as well as other complex legal issues.  Free Initial Consultation With Experienced FINRA Securities Arbitration Attorneys Serving Centereach, New York Residents In FINRA Arbitration Proceedings At The Law Offices of Robert Wayne Pearce, P.A.  we represent investors in all kinds of securities, commodities and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout New York, and across the United States on a CONTINGENCY FEE basis which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities and investment law disputes serving New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Continue Reading

Bluffs, Iowa FINRA Defense Lawyers

You may have read that Chad T. Mackland of Council Bluffs, Iowa 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 March 2017, Chad T. Mackland joined MML Investors Services, LLC and became registered as a General Securities Representative. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) disclosing that he had been terminated due to alleged misconduct. According to the findings, FINRA sent Mackland a request to provide documents and information in connection with their investigation regarding his pending criminal charges as well as alleged theft and fraudulent sales practices. The findings state that Mackland responded to FINRA during a phone call, stating that he allegedly received, acknowledged, and refused the request to provide the documents and information at any time. Although Chad T. Mackland is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210 states, in relevant part, that FINRA has the right to require a “person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically with respect to any matter involved in the investigation, complaint, examination or proceeding.” FINRA Rule 8210 also specifies that “no person shall fail to provide information or testimony pursuant to this Rule.” A failure to provide information and/or testimony requested by FINRA pursuant to Rule 8210 violates Rule 8210. Conduct that violates FINRA Rule 8210 also violates FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principals of trade.” Unfortunately, Chad T. Mackland 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 Attorneys Serving Financial Advisors Throughout Bluffs, Iowa 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 Iowa 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 Iowa citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Continue Reading

Irving, Texas FINRA Defense Lawyers

You may have read that Anne McCutcheon Crivelli of Irving, Texas was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because she failed to comply with FINRA Rule 8210 and 2010. In October 2018, Anne McCutcheon Crivelli joined Charles Schwab & Co., in an unregistered capacity as an estate service specialist. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) disclosing that she had been terminated due to alleged misconduct. According to the findings, FINRA sent Crivelli a request to provide documents and information in connection with their investigation relating to a conversion of funds from a senior customer. The findings state that Crivelli responded to FINRA during a phone call, stating that she allegedly received, acknowledged, and refused the request to provide the documents and information at any time. Although Anne McCutcheon Crivelli is no longer associated with any FINRA member firm, she remains subject to FINRA’s jurisdiction. FINRA Rule 8210 states, in relevant part, that FINRA has the right to require a “person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically with respect to any matter involved in the investigation, complaint, examination or proceeding.” FINRA Rule 8210 also specifies that “no person shall fail to provide information or testimony pursuant to this Rule.” A failure to provide information and/or testimony requested by FINRA pursuant to Rule 8210 violates Rule 8210. Conduct that violates FINRA Rule 8210 also violates FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principals of trade.” Unfortunately, Anne McCutcheon Crivelli 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 Irving, Texas 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 Texas 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 Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Continue Reading