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FINRA Rule 8210 Lawyers

May 31, 2018 Federal Criminal Attorneys

Any individual who is a registered representative of FIRNA is subject to FIRNA Rule 8210, which is FIRNA’s variation of a subpoena. This rule was enacted to enable investigators with the ability to subpoena an individual to testify on the record. In addition, this rule also gives FIRNA representatives the authority to request that an individual produce any documents needed for the investigation.

This is an unusual request, as it only applies to individuals who are FIRNA representatives. Although there are versions of subpoenas that are comparable to FIRNA Rule 8210, they all differ in practice. FIRNA investigators are known to tell individuals that FIRNA is not a government organization but private, which leads some individuals to believe they do not have to respond the requests from FIRNA investigators. However, if you fail to comply with FIRNA Rule 8210, it could result in contempt of court or a jail sentence. If an individual fails to respond to a FIRNA representative’s request, he or she could have their license revoked. If an individual is a full-time FIRNA representative, there are several other consequences that could arise as a result of not to adhering to FIRNA Rule 8210.

It is important to note that FIRNA is not a government agency, so FIRNA representatives are not able to evoke their right to the Fifth Amendment. In addition, when a FIRNA representative fails to provide an honest testimony under oath, it could result in criminal charges. The best course of action to take if you are under a FIRNA investigation is to contact a skilled New York defense attorney.

What Should You do if You are Issued a FIRNA 8210 Request?
If you receive a FIRNA 8210 subpoena, it is normal to be apprehensive and overwhelmed. If you receive a request, you will need to make certain that your interests are protected, which is why it is vital to seek guidance from an experience defense attorney. An attorney can help you gather all the necessary documents that are needed for your interview, and he or she will be by your side during testimony.

However, before an individual reaches this point, it is important to set up a meeting between your broker-dealer and your defense attorney. An attorney can ensure that FIRNA investigators and broker-dealers adhere to all the requirements of a FIRNA investigation.

When you obtain the services of an attorney, you will probably be asked to gather information that will benefit you during the course of the investigation. It is necessary for FIRNA representatives to go through all of their documents, which may be stored on mobile devices and computers. In addition, it can be helpful for FIRNA representatives who are under an investigation to make copies of any paper documents that could benefit them during the investigation. An attorney is vital because the current version of FIRNA Rule 8210 provides FIRNA investigators with more power to request that FIRNA representatives (who receive subpoenas) provide all of the request documents. A FIRNA representative should never attempt to hide documentation during an investigation, as investigators can obtain a copy of the documentation from a third party.

When you have supporting documentation, have an attorney review it to get the facts in order about what caused the subpoena. After this is understood, a FIRNA representative and his or her defense attorney can begin to develop a written response, which is one of most important parts of the investigation process.

A New York defense attorney can work with you to develop a valid response that effectively defends your position against the circumstances that surround the investigation. A written response should have a clear explanation of why the issue or complaint on the U5 are untrue, and to purse the complaint would be a waste of time for the investigators as well as the FIRNA representative under investigation. The most effective way to increase the chances of a successful outcome is to develop an argument that warrants there is more to the allegations that were issued in the complaint. However, it is important to note that depending of the severity of the complaint, FIRNA investigators may not issue a response for months or may request additional information.



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