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The FINRA 8210 Letter: What To Do if You Receive One

When investigating brokerage firms and individual broker-dealers, the Financial Industry Regulatory Authority (FINRA) has several tools at its disposal. One of its most-potent investigative tools is the 8210 letter. If you have received one of these letters—either personally or as a representative of your firm—you need to be very careful,...

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Broker Investigation Defense Strategies

For brokers targeted by the Financial Industry Regulatory Authority (FINRA) or the U.S. Securities and Exchange Commission (SEC), executing a strategic defense needs to be their top priority. FINRA and SEC investigations can present substantial risks—with fines, loss of registration, and even prison time potentially being on the table depending...

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Six Tips for Complying With OFAC and FINRA Enforcement

U.S. securities professionals occupy a complex place in the global financial landscape. They manage and invest billions of dollars of other people’s money and stand between investors who want to maximize their returns and organizations who desperately need an influx of cash to expand or just to get off the...

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