If you are a registered representative and are faced with a disciplinary proceeding or action, Western Heritage Law Group can help you. The attorneys at Western Heritage Law Group have represented registered representatives in disciplinary proceedings and actions before the following organizations:
- Financial Industry Regulatory Authority (FINRA)
- National Futures Association (NFA)
- Securities and Exchange Commission (SEC)
- Commodity Futures Trading Commission (CFTC)
- State Securities Commissions
- Internal Investigations
- Department of Business Oversight
If you receive an inquiry letter from FINRA according to FINRA Rule 8210 seeking information and documents, an investigation has been initiated due to a referral from many sources such as a Form U4 disclosure, Form U5 termination, customer complaint, or through the SEC or other Federal Regulators. A thorough response needs to be prepared so that it does not escalate to an enforcement action and result in a public disclosure on your broker check.
You must consult an attorney and get assistance in preparing your response, even if you believe there has been no wrongdoing or misconduct on your part.
Western Heritage Law Group has helped many registered representatives defend these types of investigations and has been successful in getting the file closed at an early stage.