Miami Beach, Florida FINRA 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? You may have read that Roland Gerbauld of Miami Beach, Florida was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rules 8210 and 2010. In December 2016, Roland Gerbauld joined Bolton Global Capital and became registered as a General Securities Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing his voluntary termination. According to the findings, FINRA sent a request to Gerbauld for information and documents regarding their investigation into whether he participated in a money-laundering scheme. The findings state that Gerbauld responded to FINRA through email stating that he allegedly received, acknowledged, and refused to provide the requested information. Although Roland Gerbauld 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 has the right to “require a person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing or electronically.” FINRA Rule 8210(c) similarly provides that lily) member or person shall fail to provide information pursuant to this Rule.” A failure to comply with a request for information 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, Roland Gerbauld 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 Miami 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 Florida 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 Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail. 

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Fort Lauderdale, Florida FINRA 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? You may have read that Robert James Halldin of Fort Lauderdale, Florida 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 February 2012, Robert James Halldin joined American Portfolio Financial Services as a General Securities Representative. The firm later filed a Uniform Termination Notice (Form U5) in April 2019, disclosing that he had been terminated due to alleged misconduct. According to the findings, FINRA began an investigation into complaints disclosed by his firm stating that he might have engaged in unauthorized transactions. As part of the investigation, FINRA sent a request to Halldin for on-the-record testimony. The findings state that Halldin responded through email stating that he received the request but ultimately refused to appear at any time. Although Robert James Halldin is no longer registered with a FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA may require any “person associated with a member, or any other person subject to FINRA’s jurisdiction … to testify at a location specified by FINRA staff … with respect to any matter involved in the investigation.” A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires associated persons, in the conduct of their business, to “observe high standards of commercial honor and just and equitable principles of trade.” By refusing to appear for on-the-record testimony as requested pursuant to FINRA Rule 8210, Respondent violated FINRA Rules 8210 and 2010. Unfortunately, Robert James Halldin 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 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 Florida 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 Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail. 

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Anaheim, California FINRA 8210 Defense Lawyer

You may have read that Gautam Arora of Anaheim, 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. Do You Need a FINRA 8210 Defense Attorney? In 2013, Gautam Arora joined Transamerica Financial Advisors and became registered as an Investment Company and Variable Contracts Product Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that he had been terminated due to alleged misconduct. According to the findings, Arora allegedly solicited investors to participate in unapproved investments without approval from his firm. The findings state that FINRA then began an investigation and sent a request for Arora for documents and information. The findings further state that Arora responded to FINRA through email and a phone call, stating that he allegedly received, acknowledged, and refused to provide the requested documents. Although Gautam Arora is no longer associated with a FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a) states, in relevant part, that FINRA has the right to “require a … person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information … in writing, or electronically … with respect to any matter involved in the investigation, complaint, examination or proceeding that is in such … person’s possession, custody or control.” FINRA Rule 8210(c) similarly provides that “[n]o member or person shall fail to provide information . . . pursuant to this Rule.” A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires associated persons, in the conduct of their business, to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, Gautam Arora 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 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. 

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Asbury Park, New Jersey FINRA 8210 Defense Lawyer

You may have read that Mamoun Chater of Asbury Park, New Jersey 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. Do You Need a FINRA 8210 Defense Attorney? In September 2019, Mamoun Chater joined Merrill Lynch and was registered as General Securities Representative and as an Investment Company and Variable Contracts Products Representative. Merrill Lynch later filed a Uniform Termination Notice (Form U5) in February 2020, disclosing Chater’s termination for allegedly failing registration requirements. According to the findings, FINRA sent a request to Chater to produce documents and information in connection with their investigation regarding the termination. The findings stated that Chater responded to FINRA in an email stating that he had received the request but refused to provide the documents or information at any time. Although Mamoun Chater is no longer registered or associated with a FINRA member firm he remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA may require a person subject to its jurisdiction “to provide information orally, in writing, or electronically and to testify at a location specified by FINRA staff with respect to any matter involved in [a FINRA] investigation [or] examination.” FINRA Rule 8210(c) further states that “[n]o person shall fail to provide information or testimony  pursuant to this Rule.” A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010. Unfortunately, Mamoun Chatermight 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 Asbury Park, New Jersey 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 FINRAdefense skills are highly regarded throughout New Jersey 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 Jersey citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail. 

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Spokane, Washington FINRA 8210 Defense Lawyer

You may have read that Kathleen M. Bott of Spokane, Washington 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 January 2008, Kathleen M. Bott joined D.A. Davidson and became registered as a General Securities Principal. The firm later filed a Uniform Termination Notice (Form U5) in February 2020, disclosing that Bott had resigned when they learned that she was facing theft charges. According to the findings, FINRA sent a request to Bott for information, including bank account documents during an investigation into the alleged misconduct. The findings stated that Bott had acknowledged the request but ultimately failed to provide the bank statements within the given deadline. The findings further state that Bott had later responded to FINRA in and email and during a phone call, stating that she allegedly refused to provide any information or documents at any given time. Although Kathleen M. Bott is no longer associated with a FINRA member, she remains subject to FINRA’s jurisdiction. Do You Need a FINRA 8210 Defense Attorney? FINRA Rule 8210(a) provides that FINRA has the right to “require a 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.” Rule 8210(c) provides that “no member or person shall fail to provide information pursuant to this Rule.” A failure to comply with FINRA Rule 8210 is also 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,Kathleen M. Bott 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 Spokane, Washington 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 Washington 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 Washington citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail. 

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Barnegat, New Jersey FINRA 8210 Defense Lawyers

Do You Need a FINRA 8210 Defense Attorney? You may have read that Jeffrey Allan Broten of Barnegat, New Jersey 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 February 2018 to August 2019, Jeffrey Allan Broten was registered with First Standard as a General Securities Representative. The firm later filed a Uniform Termination Notice (Form U5) disclosing that Broten had voluntarily terminated his registration. According to the findings, FINRA sent a request to Broten for on-the-record testimony in connection to alleged unsuitable and unauthorized trading. The findings state that Broten responded to FINRA through email stating that he allegedly received, acknowledged, and refused to provide the on-the-record testimony at any given time. Although Jeffrey Allan Broten is no longer registered or associated with a FINRA member firm he remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA may require a person subject to its jurisdiction “to provide information orally, in writing, or electronically and to testify at a location specified by FINRA staff with respect to any matter involved in a FINRA investigation or examination.” FINRA Rule 8210(c) further states that “no  person shall fail to provide information or testimony pursuant to this Rule.” A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010. Unfortunately, Jeffrey Allan Broten 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 Barnegat, New Jersey 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 Jersey 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 Jersey citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail. 

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