FINRA Examinations, Investigations & Disciplinary Actions
Attorney Pearce has handled the defense of FINRA investigations, examinations and disciplinary proceedings, including appeals for over 40 years from offices located throughout South Florida. These are serious matters because disciplinary actions resulting from these investigations and examinations can have a significant impact on any registered "member" and "associate member" career. Sanctions for violations of industry rules and regulations, or federal or state securities laws may result in: a censure, substantial fines, orders to repay customers (restitution) for their losses, suspensions and permanent lifetime bars from association with any FINRA broker-dealer. The issues raised in these investigations, examinations and disciplinary proceedings are very rule-intensive and can involve the minutiae of the securities industry. This is a unique forum where the deck is stacked against the "member" and "associated persons," and so experience is critical to your success. Do not jeopardize your career with inexperienced counsel in securities industry regulatory matters.
Representing FINRA Representatives throughout Florida and Nationwide. Please contact our South Florida law office online, or call 561-338-0037 to schedule your free consultation.
All broker-dealers and their sales representatives are required to be registered (licensed) before they may do any securities business in the United States with the public. It can be difficult to register broker-dealers and individual representatives when those companies and individuals have experienced past customer complaints, disciplinary actions, bankruptcies and other black marks on their record. Inadvertent nondisclosure of prior incidents could end the registration process or slow it down for many months. Early intervention and assistance by experienced counsel with this state agency could result in an expeditious resolution of your particular registration problem. We know from prior experience how to work with them to get the job done quickly and economically.We Can Help You Avoid the Pitfalls of the Surprise Examination
Although FINRA is not a government agency and cannot throw you in to jail for violation of industry rules and regulations, it is a self-regulatory organization and all broker-dealers doing business with the public are members and subject to its rules, regulations, practices and procedures, including disciplinary actions for violations of its rules. While these disciplinary actions are considered civil in nature (as contrasted with criminal actions), they are not necessarily conducted in a civil manner. More important, you do not have certain rights with FINRA that may exist with the United States Securities and Exchange Commission or another state regulator, including the right to refuse to answer a question on the grounds that your response may tend to incriminate you as guaranteed by the Fifth Amendment to the United States Constitution without consequences, including a bar from the industry pursuant to FINRA Rule 8210 for failure to cooperate with FINRA's investigation. Our law firm is well-versed in FINRA rules, practices and procedures and can help you to avoid the pitfalls of a surprise examination. Please read A Stockbroker's Introduction To FINRA Examinations and Investigations.You Need to Hire a Qualified Miami FINRA Defense Attorney Immediately!
It can start with a customer complaint letter, a simple letter from a FINRA examiner or seemingly innocuous request from your branch manager and the next thing you know you are trapped in your office or on the record at the FINRA offices giving testimony to FINRA examiners and attorneys who are all asking you questions in rapid-fire without the benefit of counsel. You cannot walk out of the room and refuse to answer questions because of the threats to bar you from the industry for failure to cooperate as required under FINRA Rule 8210. We are available from our Florida offices to consult with you immediately on any FINRA inquiry or compliance issue that may result in serious consequences to your career before it is too late!Free Initial Consultation With Attorneys Who Can Handle Your FINRA Examinations and Investigations Problems
The Law Offices of Robert Wayne Pearce, P.A., understands what is at stake in FINRA examinations and investigations for violation of its rules and the consequences. We are always pushing back on overzealous FINRA examiners to assure a fair investigation and secure the best result possible under the circumstances. We will work hard to ensure that you have all of the information necessary to make a sound decision in your dealings with this self-regulatory organization.
For dedicated representation from a firm with substantial experience in all aspects of FINRA examinations, investigations and disciplinary proceedings, contact our law firm by telephone at 561-338-0037, toll-free at 800-732-2889 or via e-mail. We may also be able to arrange a meeting with you at offices located in Boca Raton, Fort Lauderdale, Miami and West Palm Beach, Florida and elsewhere.