FINRA is the organization responsible for the oversight of securities firms, and broker activities. Congress has authorized FINRA to regulate various areas of the financial industry in the USA. FINRA’s goal is to decrease the chances an unscrupulous business, or individual, of taking advantage of honest investors. This is done by overseeing players in the US financial markets.
FINRA monitors financial markets, and detects fraudulent activity where it may occur. It has the technical capabilities of providing a detailed analysis of financial markets. FINRA can determine when any type of activity in financial markets is an anomaly, or associated with fraud. FINRA keeps the public safe from financial fraud, and discovers unethical practices. FINRA categorizes brokers/brokerages, who act unethically, and provides this information in their database. This helps investors know if they are working with a properly licensed and registered broker/brokerage or not.
If you’re being investigated by FINRA, it’s critical you hire a FINRA regulatory defense attorney to help defend you. Brokerages, and brokers, have all agreed to comply with FINRA’s by-laws. This covers things such as how a brokerage/broker operated, and how investment products are promoted. If you are accused of not following these standards, then you could face a disciplinary action. If an investor files a complaint about suspicious activity with FINRA, then an investigation will immediately be started. Despite your best efforts to comply with all the rules and regulations, many professionals will find themselves defending their activities in front of FINRA eventually. We have experience representing financial services clients with inquiries initiated by regulatory bodies such as the SEC, FINRA, CFTC, and other government entities. We can help represent firms and professionals respond to subpoenas, in addition to Rule 8210 requests, as well as on the record interviews.
FINRA Disciplinary Proceedings Lawyers
When a broker/firm gets a FINRA Rule 8210 letter requesting information, or indicating they are the subject of a FINRA investigation – then we encourage you to contact our firm. If you’ve received a Wells Notice, advising that the SEC / FINRA is contemplating bringing an enforcement proceeding for a violation of laws and regulation – then it might be time to speak to an attorney who can help you.
Our team of attorneys thoroughly reviews all aspects of your case, and we advise our clients on the best way to minimize their exposure to potential proceedings, and sanctions. We help our clients ensure they are getting fair treatment. We work to resolve matters as quickly as possible, before they turn into formal disciplinary hearings. When the issue can’t be handled through informal actions, our attorneys can defend you in formal disciplinary proceedings.
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