by Gary Carleton | May 21, 2020 | FINRA, FINRA Disciplinary
Welcome to #FINRAFriday! This Blog breaks down the mysteries of the FINRA investigative and disciplinary process so that those of you who are facing scrutiny by the regulator are better prepared to defend yourself. In each posting, we explore a small piece of the...
by Gary Carleton | May 15, 2020 | FINRA, FINRA Disciplinary
Welcome to #FINRAFriday! This Blog, written by Gary Carleton at Carleton Law PLLC, breaks down the mysteries of the FINRA investigative and disciplinary process so that those of you who are facing scrutiny by the regulator are better prepared to defend yourself. In...
by Gary Carleton | May 6, 2020 | FINRA
Are you providing a response to another of FINRA’s Rule 8210 requests in what appears to be an endless FINRA Enforcement investigation? Are you literally in your fifth year of the investigation? Have you considered whether the sheer length of the investigation has...
