• Discussion 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

  • Resources/Links

    For more on Gary Carleton's background, see www.carletonlaw.net

     

     

  • Connect With Us

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    gary@finrafridays.com
    Email
    (202) 744-6297
    Phone