FINRA investigation lawyer Archives

Navigating a FINRA Investigation: How to Respond to Rule 8210 Requests and Prepare for On-The-Record (OTR) Interviews

Receiving a FINRA 8210 request for an on-the-record interview can be intimidating, but working with a trusted attorney can help you respond strategically. Reach out to an experienced FINRA enforcement defense attorney today to learn more about your legal rights and options.

Judex Law, LLC is a full-service securities and business law firm located in Broomfield, Colorado. We handle a range of securities law matters, including disclosures, broker/securities fraud and negligence, state regulatory defense, securities compliance, FINRA complaint expungement, and arbitration. We also help small businesses and startups with business formation, employment policies, operating agreements, partnership agreements, business taxes, and contracts.

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Navigating a FINRA Investigation: How to Respond to Rule 8210 Requests and Prepare for On-The-Record (OTR) Interviews