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.

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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.

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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.

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