FINRA 8210 Requests, Investigations & Hearings

Getting a letter from the Financial Industry Regulatory Authority (FINRA) can be unsettling. Whether you are a registered representative, broker, financial advisor, or broker-dealer receiving a FINRA 8210 request means the regulator is looking closely at your conduct or the conduct of your firm. The stakes can be high. Responding improperly or not responding at all can put your license and career at risk. That’s why you need experienced legal guidance to help you navigate the process from the very start.

The New York FINRA attorneys at Malecki Law have decades of experience representing industry professionals during all phases of regulatory inquiries and enforcement actions. If you received a Rule 8210 request, we can help you respond strategically and mitigate the risk to your professional reputation and livelihood.

FINRA Rule 8210 gives the regulating body broad authority to demand information from registered individuals and member firms. These requests are essentially subpoenas, requiring the recipient to produce documents, communications, and other records or provide testimony under oath. The scope of these requests can be wide, and failure to respond can result in severe consequences—including a permanent bar from the industry.

The 8210 process is often triggered by a customer complaint, suspicious trading activity, a whistleblower report, or red flags on a U4 or U5. In some cases, the request may relate to undisclosed outside business activities, private securities transactions, or prior bankruptcies and liens. Even minor reporting missteps can lead to scrutiny under this rule.

A New York FINRA attorney at Malecki Law can assess the nature of the request, determine your potential exposure, and help you prepare a compliant and protective response.

Many people do not realize how much power FINRA has. Once an 8210 request is issued, FINRA can demand personal as well as business-related documents. They can require you to appear for on-the-record interviews and will pursue disciplinary action if they believe rules were violated.

If you ignore or fail to comply with the request, FINRA can permanently bar you from the industry. Worse, that decision becomes public—FINRA publishes all sanctions on its website, and the records are indexed by search engines. This kind of reputational damage can follow you indefinitely and make it nearly impossible to work in financial services again.

Our New York FINRA attorneys work to avoid those consequences by intervening early and advocating for a resolution that limits harm. In some cases, we can resolve the matter with no disciplinary action. If that is not possible, we prepare for a robust defense in the Wells process or at a formal disciplinary hearing.

If FINRA intends to pursue disciplinary charges after an investigation, they may offer you an opportunity to submit a Wells response. This is your chance to explain your side of the story and argue why no charges should be filed. A well-crafted Wells submission can make a real difference—our attorneys have successfully used them to get investigations closed or penalties reduced.

When charges are filed, the case proceeds to a disciplinary hearing. Malecki Law has extensive experience representing clients at this stage, including through discovery, witness preparation, and hearing advocacy. We understand how to challenge the evidence presented by FINRA and build a strong defense to protect your license, your livelihood, and your name.

FINRA investigations move quickly and can be difficult to manage on your own. Even well-meaning individuals can make mistakes during this process, especially if they are unfamiliar with FINRA’s rules or misinterpret the questions being asked. Having a lawyer at your side not only protects your legal rights but ensures that your responses are carefully framed and have been well thought out.

Our New York FINRA attorneys bring decades of combined experience and a record of success to every case. We understand the rules, we know the regulators, and we fight to get the best result possible for our clients. Whether you’re dealing with an initial 8210 request or preparing for a disciplinary hearing, we’ll be there to guide you through it.

If you’ve received a FINRA 8210 request, don’t wait to get help. What you do next can have lasting consequences for your career. The New York FINRA attorneys at Malecki Law are here to review your situation and help you make informed, strategic decisions. To schedule a free consultation, call us at (212) 943-1233 or email jenice@maleckilaw.com.