On The Record Testimony – Make It Work For You

Customer complaints and regulatory audits can lead to FINRA inquiries/investigations. Inquiries can lead to formal action by FINRA which can result in career ending sanctions. I strongly recommend that registered representatives (RR) retain experienced counsel upon the receipt of a an inquiry letter and work with that attorney closely in responding to the inquiry, preparing to give testimony, if required, and attending the interview.FINRA has among its investigative tools the power (through Rule 8210) to compel broker dealers and [...]