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FINRA 8210 Requests - Transcript

A FINRA 8210 request is a letter that someone who is subject to FINRA’s jurisdictions, so somebody who’s registered with a broker dealer, associated with a broker dealer will get from the the FINRA regulatory enforcement staff.

And so that letter usually comes after an event so there has been a customer complaint recorded on your record, you have been terminated with negative language on your u5 the termination notice, or they have been tipped off to something that they believe is a violation of FINRA rules that you engaged in.

Typically, by the time you got a FINRA 8210 letter you already know something has gone on so you’ve been subject of an internal investigation, where you should have hired a lawyer or you’ve been terminated, when you should have hired a lawyer because at termination you know you have some ability to make sure that the language is appropriate on your u5 some ability.

Once you get the 8210 request it must be completed, so you have to make a response and you’ve got a sign to its accuracy in such a way that it appears that you haven’t violated any rules or if you have, to state the mitigating factors around it.

It is very delicate work, it is important that you get legal counsel for this type of an issue because once the 8210 letter works its way through FINRA, if they are not satisfied with your answers there will be a full-blown investigation a reportable event on your license and it could result in a disciplinary hearing sanctions centers fine bars suspensions, all of those things.

So again this is one of the areas where you can really nip it in the bud if you hire a lawyer who can talk to the staff who could work through these issues with you, and with them. Again, it’s something we do very skillfully uh and it’s really something in our wheelhouse that we enjoy helping clients with.

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