

Frank, Informed, Collaborative Discussions all about FINRA
Discussion Leader - Gary Carleton of Carleton Law PLLCDiscussion Leaders
#finraFridays hosts a monthly discussion of relevant events for those who are engaged in FINRA investigations
or disciplinary proceedings. Participation is free and by advanced registration only.

Gary Carleton
Principal Attorney
Carleton Law PLLC
FINRA's Investigative and Disciplinary Process
1015 15th Street NW, Suite 1025
Washington DC 20005
www.carletonlaw.net

July 10, 2020 at 3:00 - 4:00 pm
(Eastern Time)
NEXT TOPIC:
Responding to FINRA 8210 Requests
Here you are as a broker on an ordinary day at the office (before the pandemic). Then you get the letter. It is addressed to you and it is from FINRA’s Enforcement Department. The first thing you notice as you quickly scan the letter is that your Compliance Officer has also been copied on the letter. It is a request that you answer questions and provide documents for an investigation FINRA is conducting.
What is my obligation to respond?
What are the first steps?
Who is going to represent me?
Do I really need to provide all this information in 2 weeks?
We discuss those questions and your questions.
To participate, send an email to: gary@finrafridays.com
Past #finraFridays Posts and Discussions
New posts will be added each month.
2Understanding the Significance of FINRA’s Limited Jurisdiction
3How Old is Too Old for a FINRA Disciplinary Action
Resources/Links
For more on Gary Carleton's background, see www.carletonlaw.net
Website Disclaimer
The information contained in this website is intended to convey general information about #finraFridays and/or Carleton Law PLLC. It should not be construed as legal advice on any matter or constitute an offer to represent you.
The transmission and receipt of information contained on this Website, in whole or in part, or communication with Carleton Law PLLC or #finraFridays via the Internet or e-mail through this website does not constitute or create a lawyer-client relationship between us and any recipient. You should not send us any confidential information in response to this website. Such responses will not create a lawyer-client relationship, and whatever you disclose to us will not be privileged or confidential unless we and you have executed a written engagement agreement.
The content and interpretation of the law addressed herein is subject to revision. We disclaim all liability in respect to actions taken or not taken based on any or all the contents of this site to the fullest extent permitted by law. Do not act or refrain from acting upon this information without seeking professional legal counsel.
Links from this Website
Links from this website may lead to other sites. Such links are provided for the visitor’s convenience to provide further information. Carleton Law PLLC and or #finraFridays does not sponsor, endorse, or otherwise approve such linked materials and does not control or guarantee the accuracy, relevance, timeliness, or completeness of the information contained in such links.
Attorney Advertising – Gary Carleton, Principal of Carleton Law, is admitted to practice law in the State of New York and the District of Columbia. This website may be considered attorney advertising.
© 2019


