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Strategic Counsel And Defense Against FINRA Investigations

The Financial Industry Regulatory Authority (“FINRA”) is the largest independent regulator of securities firms in the United States. FINRA is a private corporation that investigates and regulates broker-dealers and exchange markets. Although the U.S. Securities and Exchange Commission (“SEC”) oversees and regulates FINRA, the rules of evidence for FINRA proceedings are different than the rules in a federal court proceeding.

The law firm of Ford O’Brien Landy LLP has extensive experience in FINRA investigation defense and FINRA proceedings in New York and throughout the United States. If you have received a Rule 8210 request from FINRA, the importance of legal guidance in these matters cannot be overstated. Our FINRA defense lawyers can review the request and help you determine how to respond. The sooner we can get involved, the sooner we can start protecting your interests and help you avoid any possible sanctions.

Ford O’Brien Landy LLP represents clients in a variety of securities matters, including:

Understanding The Process

Failing to respond to a FINRA request in a timely manner may result in sanctions, including being permanently barred from FINRA. How you respond to the Rule 8210 request will also be crucial in FINRA’s decision to either commence an investigation or drop the inquiry.

If FINRA decides to start an investigation, you will likely be asked to provide on-the-record testimony. We can help you understand this process and thoroughly prepare you for the hearing.

After the hearing, FINRA will consider your testimony and either drop the investigation or issue a Wells Notice, which is a notification that FINRA intends to bring charges. If you receive a Wells Notice, you have a right to respond to it through your attorney or in writing. This stage of the process — responding to the Wells Notice — is also another opportunity to persuade FINRA not to charge you.

If FINRA charges are brought, we can help you reach a settlement or contest the allegations in a FINRA administrative proceeding. Our attorneys have extensive experience in responding to Rule 8210 requests and Wells Notices, as well as the presentation of evidence and the cross-examination of witnesses according to FINRA’s rules.

If you have received a Rule 8210 request or a Wells Notice, or if you believe you could be investigated by FINRA, do not hesitate to contact the law firm of Ford O’Brien Landy LLP.