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Finra Defense Attorneys

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FINRA Defense Lawyers

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If you’re being investigated by FINRA, it’s important you understand how, and why, FINRA is investigating you. It’s critical you understand how FINRA conducts its investigations, and why it decides to charge you. It’s also important you hire a FINRA defense attorney who will actively work to protect your rights, and create a strategy to help with the situation you’re in. The right FINRA defense attorney can help you understand the investigation, and navigate it. This is a stressful situation. Having the wrong attorney can make it even more stressful.

Hire a FINRA Defense Lawyer 

FINRA investigations begin as an inquiry. FINRA staff issue a Rule 8210 request, which seeks documents and answers concerning a matter. The response you give is important, it locks you into a story. Our FINRA defense attorneys understand how important this step is, and actively work to prevent you from putting yourself into a situation where you are in danger, or will be charged.

Regardless of which stage you’re at, our attorneys can help you navigate it.

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Finra Defense Attorneys

Our team of attorneys is knowledgable, experienced, and respected. If you need a lawyer for a financial, or regulatory, matter, you want our FINRA defense attorneys on your side. We can help with a wide array of situations:

  • Defense for FINRA / SEC examinations, and enforcement actions
  • General advice regarding FINRA and SEC compliance
  • Drafting industry documents
  • Assistance with registration, MC-400 cases with FINRA, and more
  • Counsel regarding U4/U5 and other forms
  • Arbitration matters before FINRA dispute resolution
  • Representation and counsel for brokers dealing with CFP Board Investigations

FINRA is a self regulated organization which is responsible for enforcing all FINRA rules, and securities laws. FINRA looks at broker-dealers, registers broker-dealers, and their representatives. In addition, FINRA has its own arbitration dispute resolution system. FINRA operates under the SEC.

FINRA disciplinary investigations are VERY serious, and can end your career. If you’re involved in a FINRA investigation, it’s important you speak to a FINRA defense and investigation attorney. FINRA’s enforcement division looks closely for violations of FINRA rules, and securities law. These investigations can be triggered by many things, such as:

  • Complaints from clients
  • Periodic examinations of brokers and dealers
  • FINRA monitoring trading on the exchanges
  • Disclosures made on U4 and U5 forms
  • Referrals from state, and federal, agencies

If you get a FINRA rule 8210 letter of inquiry, it’s important you hire an attorney who can advise you. Under FINRA rule 8210, FINRA can compel testimony or production of documents from individuals and firms through a letter of inquiry.

If you fail to cooperate with a FINRA investigation, it can put you at risk of being removed from the securities industry. FINRA has super broad powers. It can require you to provide documents, answer questions, or more. If you get a Rule 8210 letter, it’s important you speak to an attorney who can give you advice. If you receive a letter of inquiry from FINRA, don’t make any statements or product documents before consulting with a FINRA investigation defense attorney.

Many brokers often get a Rule 8210 letter. The right response to this letter can help you resolve a FINRA investigation. If you say too much, or provide too much information, it could cascade your situation. One of the mistakes people make is ignoring a Rule 8210 letter. Refusing to cooperate, refusing to provide testimony – even if you invoke your 5th amendment rights, is a failure to cooperate and can result in your expulsion from the securities industry.

FINRA can impose several penalties

If you fail to respond, or fail to cooperate fully, FINRA can impose fines and kick you out of the securities industry. Bottom line, it pays to hire an attorney who can handle this for you. If FINRA investigates and determines you have violated the rules, FINRA can impose fines and penalties. Such fines and penalties could be career-ending.

Wonderful people!

They work very hard at what they do to give you the best possible outcome. If I ever need legal help or advice I’ll be coming to them! Todd and his team are superb. I highly recommend and respect these wonderful people at Spodek. They go above and beyond to help me everything from zoom calls to an Uber home from court when my phone died! Wonderful people

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FINRA DEFENSE ATTORNEYS

Our team is here to help you with any FINRA defense issues, or regulatory investigations you may face.

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Frequently Asked Questions

What Penalties Can FINRA Impose?

If you fail to respond to a FINRA investigation, or 8210 letter, FINRA can impose fines and remove you from the industry. They can suspend, or revoke, your registration. If you’re being investigated by FINRA, you shouldn’t rely on your firm’s attorney to represent you. The attorney works for the firm, and will likely put their interests above yours. Any mistake in the investigation can destroy your career. You want an attorney who represents you, and is looking out for you. Your employer might tell you that you’re not the focus of the investigation – but could be lying.

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