May 16, 2021

Newport, Rhode Island FINRA 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? You may have read that Charles Ernest Kenahan of Newport, Rhode Island 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 2007, Charles Ernest Kenahan Merrill Lynch, Pierce, Fenner & Smith while 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 began an investigation and sent a request to Kenahan for information and documents or to appear for an on-the-record testimony regarding allegations of sales practice violations from former customers. The findings state that Kenahan initially cooperated with the investigation then ceased in doing so when he responded to FINRA during a phone call, stating that he allegedly received, acknowledged, and refused to provide the requested information or to appear for an on-the-record testimony. Although Charles Ernest Kenahan 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, Charles Ernest Kenahan 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 Newport, Rhode Island 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 Rhode Island 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 Rhode Island citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail. 

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Apr 19, 2021

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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Apr 14, 2021

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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Feb 25, 2021

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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