What Triggers a FINRA Investigation?
FINRA enforces compliance with numerous state and federal laws and regulations. Learn what triggers a FINRA investigation and how to protect your brokerage firm.
What Is a FINRA Investigation?
FINRA possesses extensive power to examine broker-dealers and individual brokers. When violations are discovered, FINRA can levy penalties or prohibit brokerage professionals from serving retail…
How to Respond to FINRA 8210 Request
Financial advisors and brokers who receive a FINRA 8210 request should hire a defense attorney and comply with document requests. Learn the step-by-step process.
How to Fight a FINRA Bar
A former prosecutor's guide to fighting FINRA enforcement actions. Learn five tips for fighting a FINRA bar and 12 key facts about the process.
How Long Do FINRA Investigations Take?
FINRA investigations typically last 12 to 24 months. Learn what factors can make investigations take longer and how legal representation can help.
FINRA Wells Notice Explained
A FINRA Wells Notice notifies you of charges FINRA intends to bring. It is a preliminary step and an opportunity to explain your side of…
FINRA vs SEC Investigation
FINRA and the SEC both investigate securities fraud but have important differences. Learn about their authorities, enforcement actions, and what to do if investigated.
Do I Need a Lawyer for FINRA?
FINRA arbitration can be daunting and complex. Learn why legal representation is essential and how an experienced attorney can make a critical difference.
Can FINRA Lead to Criminal Charges?
FINRA lacks authority to press criminal charges, but investigations can lead to prosecution by the DOJ with potential prison time.
Can FINRA Bar Me From the Industry?
The SEC and FINRA both have authority to impose industry bars. A FINRA bar prohibits all controlling and non-clerical services for securities firms.