FINRA INVESTIGATIONS LAWYERS

Posted By Max Soni, On October 19, 2020

FINRA INVESTIGATIONS LAWYERS

We have a national reputation for clients who need a FINRA defense attorney.

ARE YOU FACING A FINRA INVESTIGATION, AN ENFORCEMENT OR DISCIPLINARY ACTION? WE CAN HELP. WE DEFEND BROKER-DEALERS, AND PROFESSIONALS, FACING FINRA INVESTIGATIONS.

FINRA Rule 8210 Demand for Documents, Information, and Testimony

By the time you get a request from FINRA, under rule 8210, for info, docs, or an interview, the investigation process has already gone forward. At this time, it’s best to work with an attorney who can prepare your response, and help you create a defense. You MUST move quickly, get ahead of the accusations.

If you’re being investigated by FINRA, you have the right to a FINRA investigations lawyer. You have the right to counsel, and you should immediately hire an attorney even if you are innocent of any wrongdoing. FINRA can make mistakes, and that can have huge, and devastating, consequences for broker-dealers, or for people with a career in the financial world. Whatever your situation is, your goal must be to prevent a full blown escalation of the enforcement action, and to prevent disclosure to the Central Registration Depository. Our team of FINRA investigation lawyers move fast to have the case dismissed, or to negotiate the scope of the investigation and minimize the consequences.