Have you received a FINRA 8210 Request and you need legal assistance responding to it?
You are most likely here because you have received a FINRA 8210 Request letter notifying you that they are conducting an inquiry to determine whether violations of the federal securities laws or rules have occurred. You have probably never seen a letter like this before and it can be extremely intimidating.
Galvin Legal provides legal representation to financial advisors who have received FINRA 8210 Request letters respond to those letters and with any subsequent requests, investigations, or examinations that may follow.
What is a FINRA 8210 Request letter?
A FINRA 8210 Request letter is meant to notify you that FINRA is conducting an investigation, and could request a signed statement, documents, or on-the-record testimony from you. Failure to respond to a FINRA 8210 Request letter will probably result in serious penalties, up to and including suspension or being barred from the industry. It is extremely important to respond truthfully and on time as failing to do so could cost you your career.
View FINRA’s Frequently Asked Questions about FINRA 8210 Request letters.
Request a Free Consultation with an Attorney Today!
If you have received a FINRA 8210 Request letter, then request a free consultation or call 1-800-405-5117 to speak with a FINRA 8210 Request attorney now–time is of the essence. Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities regulation and compliance law practice. For more information on Galvin Legal, PLLC, please visit www.galvinlegal.com or call 1-800-405-5117.