SEC & FINRA Investigations

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If You Have Received Notice Of An SEC Or FINRA Investigation

You have received notice that your conduct is being investigated through the Securities and Exchange Commission (SEC) or the Financial Industry Regulatory Authority (FINRA). You are probably concerned about what could result from this notice. How should you respond? Will you be charged with a crime? How can you protect yourself and your career?

At , we understand that an investigation of stockbroker trade practice violations could have lifelong repercussions. From helping you craft your initial response to this notice to advocating for your rights throughout the investigation, our attorneys will use our extensive experience in defending those under investigation for fraud to craft a sophisticated defense of you and your rights.

When You Have Received An 8210 Letter

The government takes securities and stockbroker trade seriously, and FINRA Rule 8210 authorizes this authority to compel you to testify or produce documents to support their investigation. This letter of inquiry – often called an “8210 letter” – can be sent for a variety of reasons, including:

  • Complaints made by a customer
  • A routine examination requires more input
  • Items in U4 (registration) and U5 (termination of registration) forms
  • Unusual trading activity
  • Filings for arbitration

If you do not respond to this notice or do not cooperate with the investigation, you could be subject to steep fines or even lose your career.

Because of how seriously this can impact your life and your career, it is important to contact an attorney as soon as possible to safeguard yourself. An experienced attorney can help you navigate this investigation, negotiate with FINRA before charges are filed and possibly resolve the concern without formal disciplinary action.

Contact Our Experienced Attorneys

By working with an experienced attorney, you can protect your rights, your career, your family and your future. Contact our New York office at or contact us online to arrange a consultation with an experienced lawyer.

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