FINRA 8210 Requests, Investigations & Hearings

Item: Malecki Law
Rating: 5
Author: Mario

Aggressive, Reliable Representation for Investment Professionals

From Jenice's interview for the Masters of the Courtroom series on ReelLawyers.com.
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Receiving a letter from the Financial Industry Regulatory Authority (FINRA) can be an anxiety-inducing experience for broker-dealers and other professionals. Sadly, one mistake made by FINRA can derail or even end a career. That’s why it is wise to retain legal help, both to fight for your best interests and to hold FINRA accountable for any errors made during the investigative process.

If you have received a FINRA 8210 request, the New York regulatory attorneys at Malecki Law can guide you through this stressful time. Founded in 1999, our law firm has helped thousands of clients in New York and across the nation to successfully navigate the delicate needs involved in FINRA 8210 requests, investigations, and hearings. We will draw on our wealth of experience to protect you and your finances. It is our mission to solve your problems quickly and transparently. Our goal is to get you a no action letter that puts the matter behind you and if that’s not possible, to negotiate the best deal possible or fight FINRA through a hearing to potentially exonerate you.

For legal representation you can rely on, contact Malecki Law online or call. We offer free consultations in person and over the phone.

What is a FINRA 8210 Request?

Under FINRA Rule 8210, FINRA has the power to investigate broker-dealers, financial advisers, and other licensed professionals when they potentially have violated FINRA or SEC Rules relating to the core business they are engaged in. That spans from retail financial advisors to a brokerage firm’s CEO and all the people working at the brokerage firm between the two that play a role in advising on and executing transactions, analysis, issuance of securities and the like. The securities industry is one of the most highly regulated businesses in America. You could also get a FINRA 8210 request when you fail to disclose material information about complaints, bankruptcies, liens, private securities transactions, outside business activities and so many other matters financial professionals are required to disclose.

A FINRA 8210 request is, essentially, a subpoena for a member or licensed professional at FINRA. This means that if you receive this request, you are required to respond with the requested documents or you could be barred from the industry and lose your license completely. Typically, this includes both business and personal documents. Failure to respond and being barred from FINRA will be publicly announced by FINRA and the order barring you would be publicly searchable on Google by just entering your name. FINRA’s posts get high search value on Google and other web search platforms, which means it will follow you around for life.

If FINRA decides that it will bring an action, you have an opportunity to try to convince them not t o do it is a Wells submission process or settle before a complaint is filed. Malecki Law’s New York regulatory attorneys actively fight at this step to minimize any impact on your reputation, licenses and career. Many aspects can be negotiated at this step. If it cannot be ended or settled, Malecki Law’s regulatory lawyers in New York has significant and successful regulatory hearing experience. We will represent you in answering the complaint, revieing discovery, subpoenaing witnesses and defending you at the hearing to retore your reputation, maintain your licenses and put your career back on track.

The fact is, good people make mistakes. Not every mistake should be punished. Our lawyers will work with you to protect your rights, as well as to minimize the impacts of a FINRA investigation.

Our regulatory law firm in New York can also assist with the FINRA Regulatory Hearing process from FINRA Complaint, through discovery to a hearing. We will provide strong, powerful legal counsel at every step of the way.

Why Did I Receive a FINRA 8210 Request?

At Malecki Law, we know that many people don’t even know why they have received a FINRA 8210 request in the first place.

A few things that trigger FINRA investigations include:

Unusual account activity
Suspicious trading practices
A customer complaint
Whistleblowers alleging misconduct
Information on U4s and U5s disclosed by a brokerage firm

Our experienced attorneys will get to the bottom of why FINRA has turned its attention to you. That way, we can launch a strong defense to protect you and your career.

How Our FINRA Attorneys Can Help

Jenice L. Malecki is known for her tenacity in fighting for wronged advisers.

Our experience also makes us stand out among other firms—in fact, we have set precedents and developed laws as a result of our ethical representation. We take on complex, high-profile cases on both sides, which has given us unique insight into how FINRA operates and investigates. Let our FINRA lawyers help you!

Schedule a free consultation today to learn more about how we can help with FINRA 8210 requests, investigations, and hearings.

For further reading, please check the following blog posts:

★★★★★

I highly recommend Jenice and her team at Malecki Law. I had a challenging, and lengthly case. Jenice was professional, very knowledgeable, and a pleasure to work with. She managed to make the process far less stressful during a very difficult time. They care about their clients, and it definitely shows. Mario

★★★★★

Jenice is truly a miracle worker and one of the top securities lawyers. She handled a very difficult case for us, displaying her legal knowledge, intelligence, and savviness throughout the process. I cannot recommend her enough. The quality of work from her team rivals that of corporate law firms. She was always available, extremely professional, and made sure to know all the details of the case. We were very fortunate to have been referred to Jenice and highly recommend her for any securities related legal issues. Nathan A.

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An excellent professional who represented us in trial regarding a bank fraud, an unexpected and difficult time. A professional that worked hard, persevering and who stood toe to toe against firms that had a team of excellent lawyers backing them up. Her unflinching determination really stands out, it makes you feel you have someone who really cares about trying to recover what you lost from the people that wronged you. Salomon Levi

★★★★★

It is difficult to thank you in words when gratitude comes from the heart, so I will try to link feelings with writing. It is essential for us to mention your excellence as a professional, your aptitude on legal fields, and your unavoidable persistence. All of these virtues that elevate the profession you exercise in such an admirable way, go hand in hand with your sense of ethics, your human warmth and the transparency in your actions. To sum up, thank you for being a listening ear and for having the right word while transmitting information about the legal process. Having you as our representative during such an adverse situation was a privilege and enough reason for our eternal gratitude. Angeles Aparain

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To say that my securities litigation was complex would be a severe understatement. With multiple parties involved and spanning many years, trying to understand the issues was daunting to say the least. Jenice and her team broke down the transactions by segment and by party uncovering every hidden expense. In the end, I was more than happy and could not thank Jenice and her team enough. I would not hesitate to recommend Jenice to anyone. She is highly professional, incredibly knowledgeable, well connected to industry experts, has a tireless work ethic and is so pleasant and easy to communicate with. Five stars for sure! Andrew Loughrane

★★★★★

Jenice was also special in giving us all the personal attention we needed, plus the tireless support of her crack team, over the course of ~18 mos. She talked us through every step of the way, and was open to discussing specific negotiation tactics, not glossing over anything. Dave Bliss

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I recently worked with Jenice to negotiate a business buyout, and I couldn't be more pleased with the experience. From the start, Jenice was incredibly helpful and deeply invested in achieving the best possible outcome for me. Her expertise and dedication were evident in every step of the process. David

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My experience with jenice was incredible. You want a lawyer who is advocate for you and fights for you with passion. She came along a time in my life that I needed an advocate who truly cared about me and my case. Highly recommend. Pat Brown

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★★★★★

Jenice Malecki, is one of the most helpful individuals Ive had the pleasure of speaking with. She is super knowledgeable. She helped me navigate the ever changing world of securities law. You will find her understanding of complex matters helpful and insightful. She is straightforward and candid. She makes your options easy to understand. I would recommend her without any hesitation. 10/5 stars! Enrique Tiburcio