Sparks, Nevada FINRA 8210 Defense Lawyer

You may have read that Lawrence Burton Goldstein of Sparks, Nevada 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 April 2010, Lawrence Burton Goldstein joined McNally Financial Services Corporation and became registered as a general securities 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, FINRA sent a request to Goldstein for on-the-record testimony in connection to alleged unsuitable and excessive trading. The findings state that Goldstein responded to FINRA during a phone call and through email stating that he allegedly received, acknowledged, and refused to provide the on-the-record testimony at any given time. Although Lawrence Burton Goldstein is not currently 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 associated with a member, or any other person subject to FINRA’s 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.” FINRA Rule 8210(c) states that “[n]o…person shall fail to provide information or testimony…pursuant to this Rule.” A violation of F1NRA 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, Lawrence Burton Goldstein 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 Nevada 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 Nevada 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 Nevada citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail. 

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Miami Beach, Florida FINRA 8210 Defense Lawyer

You may have read that Joseph V. Alhadeff 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 Rule 8210. Do You Need a FINRA 8210 Defense Attorney? In November 2012, Joseph V. Alhadeff joined National Securities Corporation and became registered as a registered options principal and a general securities representative. According to the findings, FINRA sent a request to Alhadeff for information and documents regarding their investigation into a former representative he used to supervise.  The findings state that Alhadeff responded to FINRA through email stating that he allegedly received, acknowledged, and refused to provide the requested information. Joseph Alhadeff is not currently registered or associated with a FINRA member firm but is subject to FINRA’s jurisdiction. FINRA Rule 8210(a) states that, for purposes of an investigation, FINRA may require any person subject to its jurisdiction to provide information and to permit FINRA staff to inspect and copy books and records that are in the person’s possession, custody, or control. FINRA Rule 8210(c) provides that “[n]o . . . person shall fail to provide information . . . or to permit an inspection and copying of books, records, or accounts pursuant to this Rule.” A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010. Unfortunately, Joseph V. Alhadeff 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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New York, New York FINRA 8210 Defense Lawyer

You may have read that Jiong Gu of New York, 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 Rules 8210 and 2010. Do You Need a FINRA 8210 Defense Attorney? In April 2020, FINRA sent a request to Jiong Gu for documents and information in connection with his alleged outside business activities. According to the findings, Gu requested an extension from FINRA due to a partial and incomplete response. The findings state that FINRA granted the request, however, Gu later responded to FINRA in a letter stating that he allegedly received, acknowledged, and refused to provide the requested documents and information. Although Jiong Gu is not registered with FINRA or associated with a FINRA member firm, he remains subject to FINRA jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA has 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.” FINRA Rule 8210(c) states that “no member or person shall fail to provide information or testimony or to permit inspection and copying of books, records, or accounts pursuant to this Rule.” A violation of 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, Jiong Gu 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 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. 

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Sunrise, Florida FINRA 8210 Defense Lawyer

You may have read that David Alan Stateman of Sunrise, 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. Do You Need a FINRA 8210 Defense Attorney? In February 2014, David Alan Stateman joined Allstate Financial Services and became registered as an Investment Company and Variable Contracts Products Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that Stateman had voluntarily terminated his registration due to a customer complaint. According to the findings, FINRA sent Stateman a request for documents and information in connection with their investigation into the customer complaint against him for misinformation. The findings state that Stateman failed to respond by the deadline provided, therefore violating FINRA Rules 8210 and 2010. Although David Alan Stateman 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 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, David Alan Stateman 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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North Woodmere, New York FINRA 8210 Defense Lawyers

You may have read that Brian Radoo of North Woodmere, 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. Do You Need a FINRA 8210 Defense Attorney? In May 2008, Brian Radoo joined NEXT Financial Group, Inc. and became registered as a General Securities Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that he had been terminated due to his alleged misconduct. According to the findings, FINRA sent a request to Radoo for information and documents regarding their investigation into whether he engaged in an outside business activity.  The findings state that Alhadeff responded to FINRA through email stating that he allegedly received, acknowledged, and refused to provide the requested information. Although Brian Radoo 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 may require a person subject to its jurisdiction “to provide information orally, in writing, or electronically 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 pursuant to this Rule.” A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires member firms and their associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, Brian Radoo 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 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. 

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Fairbanks, Alaska FINRA 8210 Defense Lawyer

You may have read that Vonna Kay Husby of Fairbanks, Alaska 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. Do You Need a FINRA 8210 Defense Attorney? Vonna Kay Husby was registered with Raymond James Financial Services, Inc. from 2003 until 2019, when they filed a Uniform Termination Notice (Form U5) disclosing that she had been discharged due to alleged misconduct. According to findings, FINRA sent a request to Husby for information and documents in connection with their investigation into whether she served as Power of Attorney and opened an undisclosed bank account that she co-owned with the customer. The findings state that Husby initially cooperated but ceased in doing so when she responded to FINRA through email stating that she allegedly received, acknowledged, and refused to provide the requested documents. Although Vonna Kay Husby is no longer registered or associated with a FINRA member firm, she remains subject to FINRA’s jurisdiction and sanctions. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA may “require a…person associated with a member, or any other person subject to FINRA’s 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.” FINRA Rule 8210(c) 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, 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, Vonna Kay Husby 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 Fairbanks, Alaska 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 Alaska 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 Alaska citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail. 

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Collingswood, New Jersey FINRA 8210 Defense Lawyer

You may have read that Sean Michael Refsnider of Collingswood, 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 February 2004, Sean Michael Refsnider joined Ameriprise and became registered as a General Securities Representative. Ameriprise later filed a Uniform Termination Notice (Form U5) disclosing that he had been terminated due to alleged misconduct. According to the findings, FINRA began an investigation into whether Refsnider had converted an elderly customers funds in the amount of $42,000 and used the funds for his personal expenses. The findings state that on three separate occasions, FINRA sent a request to Refsnider for documents and information in connection with the investigation, however, he failed to timely respond or request an extension to the deadline. Although Refsnider is no longer registered or associated with a FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a) requires 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 [an] investigation” FINRA Rule 8210(c) similarly provides that “[n]o member or person shall fail to provide information or testimony pursuant to this Rule.” A failure to comply with a request for information pursuant to FINRA Rule 8210 is also a violation of FINRA Rule 2010. Unfortunately, Sean Michael Refsnider 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 Collingswood, 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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La Crescenta, California FINRA 8210 Defense Lawyer

You may have read that Jenna Kang of La Crescenta, California 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 July 2016, Jenna Kang joined AXA Advisors and became registered as a General Securities Representative. The firm later filed a Uniform Termination Notice (Form U5) in April 2020, disclosing that Kang had been terminated due to alleged misconduct. According to the findings, FINRA sent a request to Kang for documents and information during an investigation into whether she forged customer signatures. The findings state that Kang responded to FINRA during a phone call stating that she allegedly received, acknowledged, and refused to cooperate with the investigation. Although Jenna Kang is no longer registered or associated with a FINRA member firm, she remains subject to FINRA’s jurisdiction. Do You Need a FINRA 8210 Defense Attorney? FINRA Rule 8210(a)(1) states, in relevant part, that FINRA may “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 [a FINRA] investigation.” FINRA Rule 8210(c) states that “no 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, Jenna Kang 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 La Crescenta, 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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Bellingham, Massachusetts FINRA 8210 Defense Lawyers

You may have read that James Kenneth Couture of Bellingham, Massachusetts 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. In February 2009, James Kenneth Couture joined LPL Financial LLC and was registered as a General Securities Representative. The firm later filed a Uniform Termination Notice (Form U5) in July 2020, disclosing that he had been discharged due to alleged misconduct. According to the findings, FINRA began an investigation regarding allegations by LPL stating that Couture allegedly altered information, balances and distributions in customer account statements and commingled funds all through an unapproved email address. The findings state that FINRA sent a request to Couture for documents and information on three separate occasions that he allegedly received, acknowledged, and refused to produce. Although Couture is no longer associated with a FINRA member firm he remains subject to FINRA’s jurisdiction. Do You Need a FINRA 8210 Defense Attorney? FINRA Rule 8210 requires “a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically (if the requested information is, or is required to be, maintained in electronic form) and to testify at a location specified by FINRA staff, under oath or affirmation administered by a court reporter or a notary public if requested, with respect to any matter involved in the investigation, complaint, examination, or proceeding.” Unfortunately, James Kenneth Couture 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 Bellingham, Massachusetts 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 Massachusetts 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 Massachusetts citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail. 

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Heathrow Florida FINRA 8210 Defense Lawyers

Garth Mather of Heathrow Florida was sanctioned by FINRA for failing to appear on an on-the-record interview. Mr. Mather was under investigation by FINRA for alleged fraud, sales practice violations, and membership violations. According to FINRA, the alleged fraud occurred when Mr. Mather was a member of Perrott, Mather & Gilday Inc. (PMGI). Mr. Mather was asked to give on-the-record testimony but failed to appear on three separate occasions. For violating FINRA Conduct Rule 2010 and FINRA Procedural Rule 8210, Mr. Mather was barred from any association with FINRA in any capacity. Do You Need a FINRA 8210 Defense Attorney? You may have read that Garth Mather of Heathrow, Florida was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he violated FINRA Rule 8210. He could have avoided that FINRA 8210 bar from the securities industry with a skilled and experienced FINRA 8210 defense attorney. My guess is that you are reading this article because you probably just received a letter from FINRA via certified mail that states: You are notified that the FINRA office is conducting an inquiry to determine whether violations of the federal securities laws or FINRA, NASD, NYSE, or MSRB rules have occurred. In the next paragraph, you are being requested, “Pursuant to FINRA Rule 8210,” to provide a slew of documents and/or to appear at a FINRA office to give “On-the-Record” testimony and then you read the warning: Under FINRA Rule 8210, you are obligated to respond to this request fully, promptly and without qualification.  You are also obligated to supplement or correct any response that you later learned to have been incomplete or inaccurate.  If you withhold any responsive documents or information, you must specifically identify what you are withholding and state the basis for your doing so.  Any failure on your part to satisfy these obligations could expose you to sanctions, including a permanent bar from the securities industry. To a FINRA registered representative, who has never received such a letter in their career, it can be intimidating and cause a great deal of anxiety.  You are probably asking yourself: Why did I get this letter? What does it mean to my career? What should I do or not do? First, you must not ignore the letter because if you do and are currently registered and still working with a broker dealer, you will be suspended, and if you still do not comply with the request, you will be permanently barred from working in the securities industry just like Garth Mather, above. Second, if you are still working for a brokerage firm, you must notify the firm and provide a copy of the FINRA letter to your immediate supervisor and/or compliance officer. Third, you will need advice from an experienced FINRA defense lawyer on how to respond to the FINRA inquiry and protect you from sanctions. If your employer is not going to supply legal counsel free of any conflict of interest or you are no longer registered and working for any firm, you will need to hire your own FINRA defense attorney. This FINRA letter marks the first stage and hopefully the last of any FINRA inquiry into a particular matter. At this point, you have not been accused of any violation of the law or any securities industry rule, and there will be no black marks on your FINRA record in the Central Record Depository (“CRD”) or on the FINRA BrokerCheck website. You want to keep it that way! As your FINRA defense lawyers, we will immediately reach out to FINRA, obtain a reasonable extension of time to comply with request for documents and/or date of your On-the-Record testimony to investigate the issue, and gather and review the information requested. We will determine the trigger event and/or nature of the inquiry, such as the following: Automated Surveillance Program flagging of potential insider trading, layering, algorithm gaming, wash sales, marking-the-close and open, front running, etc. Form U4 or U5 filing disclosing: customer complaints; arrests, criminal charges and convictions; Liens, Bankruptcies, and compromises with creditors; and/or outside business activities. Customer Complaints made directly to FINRA through its Hotline. Actions by or referrals from other regulatory agencies, like the SEC or state securities regulators. The less interaction you have with the FINRA investigator, and the more interaction your FINRA defense attorney has with the investigator the less harm you will inflict upon yourself. Sometimes the list of documents requested and/or questions asked are numerous and burdensome. Unfortunately, you simply cannot refuse to comply with the FINRA 8210 request and expose yourself to sanctions for non-compliance. As your FINRA defense lawyers, we will make sure that the FINRA investigator is not over-reaching and making unreasonable requests for documents, which you will have to supply; not only documents in your possession and custody, but you will also be required to supply documents within your “control,” such as bank statements and other records and/or tax returns in the files of your bank or accountant. As your FINRA defense attorneys, we will negotiate the scope of the document production with the investigator to ensure you are not being harassed by the regulator and producing only what is necessary for them to conduct their investigation. If you are being scheduled for an On-the-Record (“OTR”) examination, FINRA’s equivalent to a deposition without any rules, we will prepare you for the examination and advise you on your limited rights and how to answer the questions truthfully to lessen the consequences of your testimony. In the end, it is our goal as your FINRA defense lawyer to end the inquiry after the OTR in the shortest amount of time and at the least expense. Unfortunately, in many cases, the FINRA investigators and attorneys already have the evidence they need and determined that a violation of the securities laws or industry rules has occurred and are determined to bring an enforcement action. So, it is important, early on, to have a FINRA defense attorney advise...

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