I had the pleasure of working with Gary Carleton recently to resolve my 8210 request from FINRA, and I must say, he did an amazing job. From the very beginning, Gary demonstrated a deep understanding of the regulatory landscape and provided expert guidance throughout the entire process. Gary’s attention to detail and thorough knowledge of the industry helped me navigate the complexities of the 8210 request seamlessly. He was responsive, proactive, and kept me informed every step of the way. His professionalism and expertise instilled confidence in me, knowing that my case was in capable hands.

Not only did Gary provide exceptional legal counsel, but he also showed genuine care for my well-being and the success of my business. He took the time to understand my unique situation and tailored his approach to best serve my needs. His dedication and commitment to achieving a positive outcome were truly commendable.

Thanks to Gary’s expertise and diligent efforts, my 8210 request was resolved efficiently and effectively. I couldn’t have asked for a better advocate on my side. I highly recommend Gary Carleton to anyone in need of legal representation for FINRA-related matters. He is a true professional who goes above and beyond to deliver exceptional results.

A.N.
CEO of Registered Investment Advisory firm

A challenging regulatory issue had presented itself, whose outcome could potentially have been dire. A twenty year FINRA veteran recommended Gary Carleton, who had spent nearly thirty years there himself. Consequently, his understanding of the concepts surrounding this issue was innate, his insight and strategy was spot-on and he knew the process cold. Along the way there were the inevitable forks in the road. I swallowed hard a few times, followed his guidance to the letter, nailed every move and proceeded to the promised land. It was poetry.

He executed the game of 3D chess in its highest form and was always five steps ahead, with the requisite analysis and contingencies always at his fingertips. Check-mate was inevitable and the outcome indeed was as favorable as could have been expected. This was verified by other legal practitioners that were keeping track, i.e., they were seriously impressed.

Do yourself a favor. If something comes up, as it certainly can no matter how careful you are, don’t walk to Gary. Run! You want him on that wall – you need him on that wall!

A.Q.
Owner and CEO of FINRA member firm

I was very satisfied – so much so that I wished I had used Carleton Law on my original case and not just the appeal. Gary’s depth of knowledge and strategic creativity stood out most. On appeal, he identified an argument that my counsel on the original case never considered. Definitely would recommend and actually already sent a referral. Gary worked with me within my budget to provide top tier service.

D.W.
Former Registered Representative

As someone who has worked closely with Gary in SEC and FINRA investigations, I know that Gary is creative and thorough in his approach to any investigation or litigation.

He is an expert in many different areas of securities regulation and is highly respected by both securities regulators and the defense bar for his expertise, experience and honest dealing.

He is the consummate professional who can be trusted to provide the most strategic highest quality skills on behalf of his clients.

I have worked with Gary in a FINRA investigation and trial.   His strategic thinking and meticulous approach to trial work is second to none.  He remains calm and focused during litigation and is thorough in his witness preparation.   Through his exhaustive research and preparation for trials, he is incredibly effective in dismantling opposing party witnesses.   He is an excellent person to have on your side in any litigation.   

B.B.

Former Investigator, FINRA Department of Enforcement

Gary’s training on depositions and witness examinations was outstanding—clear, accessible, useful, and informed by genuine expertise. Highly recommended for experienced lawyers as well as neophytes!

R.K.
Legal Director of national issue-oriented non-profit organization