The Law of the Financial Markets from Top Securities Lawyers
Monday, October 5, 2026
A request under FINRA Rule 8210 is a very serious regulatory event. It can be addressed by a registered representative, a broker-dealer, or an associated person. These requests are not informal inquiries. They are compulsory demands supported by FINRA’s disciplinary authority. Failing to respond fully, accurately, and on time can […]
By Mark Astarita Being the subject, target, or even a witness in an SEC or a FINRA investigation is not a pleasant experience. As I discussed in my column “When the SEC Comes Calling” a financial professional’s involvement in a regulatory investigation or proceeding is extremely serious, and can be […]
Kirkland vs. Superior Court of LA County, 2002 Ca. App. Lexis 105 (Cal. App., 2Dist., 1/9/02 Discovery Issues * Enforcement Practices/Procedures * Record of Proceedings (Regulatory). Transcripts of testimony in connection with a regulatory investigation are not confidential and may be produced in a subsequent private lawsuit. Guess? Inc. sued […]
