by Gary Carleton | Oct 22, 2021 | FINRA
by Gary Carleton, Carleton Law PLLC Welcome to finraFlashback! Live and Learn. Anyone who had a difficult experience and been forced to live through challenging times because of it, knows the value of learning from one’s mistakes. Everyone makes mistakes. ...
by Gary Carleton | Aug 27, 2021 | FINRA
by Gary Carleton, Carleton Law PLLC Welcome to finraFlashback! Live and Learn. All of us go through difficult experiences. The smart people learn from their prior experiences. The really smart people can also learn from the experiences of others. As a former...
by Gary Carleton | Aug 6, 2020 | FINRA, FINRA Disciplinary
Welcome to #finraFridays! This Blog breaks down the mysteries of FINRA’s 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 | Jul 23, 2020 | FINRA, FINRA Disciplinary
Welcome to #finraFridays! This Blog breaks down the mysteries of FINRA’s 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 | Jul 2, 2020 | FINRA
Welcome to #finraFridays! This Blog breaks down the mysteries of FINRA’s 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 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...
by Gary Carleton | Jun 24, 2019 | Preparing Witnesses
Witnesses that are factually knowledgeable but are not otherwise prepared by counsel to testify can prove damaging to your case. It is not enough that the witness has a good memory of the relevant events as they unfolded. Effective trial attorneys can spot a...
by Gary Carleton | Dec 24, 2018 | Jury Verdicts
Witnesses who are credible and persuasive to juries and bring you to a successful verdict are not born – they are made. Some attorneys believe they are preparing a person sufficiently to testify by simply talking through a recitation of the facts. Good trial attorneys...
