Library - Law Offices of Robert Wayne Pearce

Canutillo, Texas FINRA Securities Arbitration Attorney

Did Israel Soto Cause You Investment Losses? Israel Soto of Canutillo, Texas submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which he was fined $7,500 and suspended from association with any FINRA member in all capacities for a period of three months. The sanctions were based on findings that he allegedly engaged in an outside business activity and failed to notify his firm of an outside business account he opened in violation of FINRA Rules 3270, 3210 and 2010. The suspension was in effect from March 1, 2021, through May 31, 2021. From April 2018 through March 2020, Israel Soto was registered with Morgan Stanley Smith Barney, LLC as a General Securities Representative. According to FINRA’s findings, Soto formed a limited liability company and served as the registered agent and sole managing member while registered with Morgan Stanley. The findings state that Soto allegedly failed to seek approval from Morgan Stanley before forming the company and falsely attested that he had not engaged in undisclosed outside business activities on their annual compliance questionnaires. In addition, the findings further allege that Soto also opened and controlled a brokerage account at another member firm, without seeking approval from Morgan Stanley and falsely attesting to the outside business account on their annual compliance questionnaires. Although Israel Soto is not currently registered or associated with a FINRA member, he remains subject to FINRA’s jurisdiction. FINRA Rule 3270 states that “no registered person may be an employee, independent contractor, sole proprietor, officer, director or partner of another person, or be compensated by, or have the reasonable expectation of compensation, from any other person as a result of any business activity outside the scope of the relationship with his or her member firm, unless he or she has provided prior written notice to the member, in such form as specified by the member.” FINRA Rule 3210 requires a person associated with a member firm, prior to opening a brokerage account with another member firm, to notify both firms of his or her association with the other member firm. These requirements apply to accounts in which the associated person has a beneficial interest. A violation of FINRA Rule 3210 also violates FINRA Rule 2010. Do You Need a Texas FINRA Securities Arbitration Attorney? Are you a Canutillo, Texas investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Texas stockbroker or investment advisor misrepresent facts, fail to disclose facts making the statements made false and misleading, recommend unsuitable investments or strategies, excessively trade or churn, mismanage your investment account or engage in other kinds of stockbroker misconduct? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA securities arbitration attorney—a lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases as well as other complex legal issues. Free Initial Consultation With Experienced FINRA Securities Arbitration Attorneys Serving Canutillo, Texas Residents In FINRA Arbitration Proceedings At The Law Offices of Robert Wayne Pearce, P.A. we represent investors in all kinds of securities, commodities and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout Texas, and across the United States on a CONTINGENCY FEE basis which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities and investment law disputes serving Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jul 11, 2021

Orlando, Florida 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? You may have read that Valerie Idarraga Ceballos of Orlando, Florida was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because she failed to comply with FINRA Rule 8210 and 2010. In April 2018, Valerie Idarraga Ceballos joined Wells Fargo as an Investment Company and Variable Contracts Products Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that she had been terminated due to alleged misconduct. According to the findings, FINRA sent Ceballos a request to appear for an on-the-record testimony regarding her termination for applying for business support from the Small Business Administration when she allegedly admitted she did not have a pre-existing formal business as required. The findings state that Ceballos responded to FINRA during a phone call, stating that she allegedly received, acknowledged, and refused their request to appear at any time. Although Valerie Idarraga Ceballos is no longer associated with any FINRA member firm, she remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA staff shall have the right to “require a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically…with respect to any matter involved in the investigation, complaint, examination, or proceeding.” A failure to comply with a request for documents and information issued pursuant to FINRA Rule 8210 is a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, Valerie Idarraga Ceballos might have avoided that FINRA 8210 bar from the securities industry with a skilled and experienced FINRA 8210 defense attorney. It is important, early on, to have a FINRA defense attorney advise you on how not to make matters worse and resolve the dispute with the least amount of sanctions which could range from censures to fines, suspensions, permanent bars, and/or referrals to federal or state prosecutors. You will need an experienced FINRA defense lawyer who not only has knowledge of FINRA rules and procedures, the securities laws and the appropriate sanction for the alleged misconduct but also has an excellent reputation and credibility with the FINRA attorneys to negotiate the best outcome. Free Initial Consultation With FINRA 8210 Defense Attorney Serving Financial Advisors Throughout Orlando, Florida And Nationwide The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in FINRA securities law matters and works tirelessly to secure the best possible result for you and your case. Attorney Pearce’s FINRA defense skills are highly regarded throughout Florida and across the nation. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of FINRA disputes serving Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Jul 9, 2021

Charleston, South Carolina FINRA 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? You may have read that Paul John Halvorson of Charleston, South Carolina was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rule 8210 and 2010. In June 2009, Paul John Halvorson joined Morgan Stanley while registered as a General Securities Representative and a General Securities Sales Supervisor. The firm later filed a Uniform Termination Notice (Form U5), disclosing that he had been terminated due to alleged misconduct. According to the findings, FINRA sent Halvorson a request to provide documents and information in connection with their investigation regarding concerns that he allegedly submitted inconsistent production transactions involving another representatives agreement resulting in a shortfall of revenue. The findings state that Halvorson responded to FINRA through email, stating that he allegedly received, acknowledged, and refused to provide any of the documents and information requested. Although Paul John Halvorson is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA staff shall have the right to “require a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically…with respect to any matter involved in the investigation, complaint, examination, or proceeding.” A failure to comply with a request for documents and information issued pursuant to FINRA Rule 8210 is a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, Paul John Halvorson might have avoided that FINRA 8210 bar from the securities industry with a skilled and experienced FINRA 8210 defense attorney. It is important, early on, to have a FINRA defense attorney advise you on how not to make matters worse and resolve the dispute with the least amount of sanctions which could range from censures to fines, suspensions, permanent bars, and/or referrals to federal or state prosecutors. You will need an experienced FINRA defense lawyer who not only has knowledge of FINRA rules and procedures, the securities laws and the appropriate sanction for the alleged misconduct but also has an excellent reputation and credibility with the FINRA attorneys to negotiate the best outcome. Free Initial Consultation With FINRA 8210 Defense Attorney Serving Financial Advisors Throughout Charleston, South Carolina And Nationwide The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in FINRA securities law matters and works tirelessly to secure the best possible result for you and your case. Attorney Pearce’s FINRA defense skills are highly regarded throughout South Carolina and across the nation. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of FINRA disputes serving South Carolina citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Jul 7, 2021

Somersworth, New Hampshire FINRA 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? You may have read that Michael Paul Francoeur of Somersworth, New Hampshire was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rules 8210 and 2010. In January 2012, Michael Paul Francoeur joined Cambridge Investment Research, Inc. while registered as a General Securities Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that he had been terminated due to alleged misconduct. According to the findings, FINRA sent Francoeur a request to provide documents and information in connection with their investigation regarding a customer complaint. The findings state that after multiple attempts, Francoeur acknowledged that he received FINRA’s requests and would not produce the documents or information requested at any time. Although Michael Paul Francoeur is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA staff shall have the right to “require a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically…with respect to any matter involved in the investigation, complaint, examination, or proceeding.” A failure to comply with a request for documents and information issued pursuant to FINRA Rule 8210 is a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, Michael Paul Francoeur might have avoided that FINRA 8210 bar from t\securities industry with a skilled and experienced FINRA 8210 defense attorney. It is important, early on, to have a FINRA defense attorney advise you on how not to make matters worse and resolve the dispute with the least amount of sanctions which could range from censures to fines, suspensions, permanent bars, and/or referrals to federal or state prosecutors. You will need an experienced FINRA defense lawyer who not only has knowledge of FINRA rules and procedures, the securities laws and the appropriate sanction for the alleged misconduct but also has an excellent reputation and credibility with the FINRA attorneys to negotiate the best outcome. Free Initial Consultation With FINRA 8210 Defense Attorney Serving Financial Advisors Throughout Somersworth, New Hampshire And Nationwide The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in FINRA securities law matters and works tirelessly to secure the best possible result for you and your case. Attorney Pearce’s FINRA defense skills are highly regarded throughout New Hampshire and across the nation. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of FINRA disputes serving New Hampshire citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Jul 5, 2021

Blacklick, Ohio FINRA 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? Lisa Marie Stevenson of Blacklick, Ohio was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because she failed to comply with FINRA Rules 8210 and 2010. In March 2016, Lisa Marie Stevenson joined The Huntington Investment Company while registered as an Investment Company and Variable Contracts Products Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that she had been terminated due to his alleged misconduct. According to the findings, FINRA sent Stevenson a request to provide documents and information in connection with their investigation regarding a $100,000 gift she received from a customer in contravention of firm policy and FINRA rules. The findings state that Stevenson responded to FINRA through email, stating that she allegedly received, acknowledged, and refused to provide any of the documents and information requested. Although Lisa Marie Stevenson is no longer associated with any FINRA member firm, she remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA staff shall have the right to “require a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically…with respect to any matter involved in the investigation, complaint, examination, or proceeding.” A failure to comply with a request for documents and information issued pursuant to FINRA Rule 8210 is a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, Lisa Marie Stevenson might have avoided that FINRA 8210 bar from the securities industry with a skilled and experienced FINRA 8210 defense attorney. It is important, early on, to have a FINRA defense attorney advise you on how not to make matters worse and resolve the dispute with the least amount of sanctions which could range from censures to fines, suspensions, permanent bars, and/or referrals to federal or state prosecutors. You will need an experienced FINRA defense lawyer who not only has knowledge of FINRA rules and procedures, the securities laws and the appropriate sanction for the alleged misconduct but also has an excellent reputation and credibility with the FINRA attorneys to negotiate the best outcome. Free Initial Consultation With FINRA 8210 Defense Attorney Serving Financial Advisors Throughout Blacklick, Ohio And Nationwide The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in FINRA securities law matters and works tirelessly to secure the best possible result for you and your case. Attorney Pearce’s FINRA defense skills are highly regarded throughout Ohio and across the nation. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of FINRA disputes serving Ohio citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Jul 3, 2021

Atlanta, Georgia Securities Account Theft Attorney

Did John Michael Elias Saad Cause You Investment Losses? A U.S. Court of Appeals for the District of Columbia Circuit decision became final in which John Michael Elias Saad was barred from association with any FINRA member in all capacities. The sanction was based on findings that he allegedly violated FINRA Rule 2010. John Michael Elias Saad of Atlanta, Georgia formerly worked as a regional director for Penn Mutual Life Insurance and was a registered representative associated with Homer, Townsend & Ken. In 2006, the firm filed a Uniform Termination Notice (Form U5), disclosing that he had been terminated due to alleged misconduct. According to the findings, Saad allegedly misappropriated his firms funds with a prolonged pattern of falsehood and deception. The NAC findings state that Saad allegedly lied to FINRA investigators when questioned about submitting false expense requests and then forging the documents to support those requests. Although John Michael Elias Saad is no longer registered with any FINRA member, he remains subject to FINRA’s jurisdiction. “FINRA is a private self-regulatory organization that oversees the securities industry, including broker-dealers.” “As part of its industry oversight, FINRA sets professional rules of conduct for its members.” FINRA Rule 2010 requires a “member, in the conduct of its business, [to] observe high standards of commercial honor and just and equitable principles of trade.” FINRA’s “Sanction Guidelines” provide that “conversion and the improper use of funds or securities” violate Rule 2010. FINRA’s Guidelines set forth eight specific factors for determining the appropriate sanction for a violation of its rules and instruct adjudicators to consider any other mitigating or aggravating factors. Do You Need a Georgia Securities Account Theft Attorney? Are you an Atlanta, Georgia investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Atlanta, Georgia stockbroker or investment advisor transfer assets without your authority to the stockbroker or another party, steal, or otherwise commit theft in your investment account? If so, you will need to have representation from an experienced, highly rated, and nationally recognized FINRA arbitration securities law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration forgery cases and other complex legal issues. Free Initial Consultation With Experienced Attorneys Handling Securities Account Theft Cases Serving Atlanta, Georgia Residents in FINRA Arbitrations At The Law Offices of Robert Wayne Pearce, P.A. we represent investors in all kinds of securities, commodities, and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout Georgia, and across the United States on a CONTINGENCY FEE basis which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities, and investment law disputes serving Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jul 1, 2021

Olive Branch, Mississippi FINRA 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? You may have read that Darrell Anthony Smith Jr. of Olive Branch, Mississippi was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rule 8210 and 2010. In June 2017, Darrell Anthony Smith Jr. joined Wells Fargo Clearing Services, LLC while registered as an investment company and variable contracts products representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that he had resigned after receiving allegations that he initiated unauthorized transactions. According to the findings, FINRA sent a request to Smith to appear for an on-the-record testimony regarding the alleged misconduct. The findings state that Smith responded to FINRA by email, stating that he received, acknowledged, and refused to appear for an on-the-record testimony at any given time. Although Darrell Anthony Smith Jr. is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210 states that FINRA staff may require persons subject to its jurisdiction to “testify at a location specified by FINRA staff, under oath or affirmation with respect to any matter involved in [an] investigation” authorized by the FINRA By-Laws or rules. Rule 8210(c) further states that “no person shall fail to provide testimony pursuant to this Rule.” A violation of Rule 8210 is also a violation of FINRA Rule 2010, which provides that associated persons, in the conduct of their business, shall observe high standards of commercial honor and just and equitable principles of trade. Unfortunately, Darrell Anthony Smith Jr. might have avoided that FINRA 8210 bar from the securities industry with a skilled and experienced FINRA 8210 defense attorney. It is important, early on, to have a FINRA defense attorney advise you on how not to make matters worse and resolve the dispute with the least amount of sanctions which could range from censures to fines, suspensions, permanent bars, and/or referrals to federal or state prosecutors. You will need an experienced FINRA defense lawyer who not only has knowledge of FINRA rules and procedures, the securities laws and the appropriate sanction for the alleged misconduct but also has an excellent reputation and credibility with the FINRA attorneys to negotiate the best outcome. Free Initial Consultation With FINRA 8210 Defense Attorney Serving Financial Advisors Throughout Olive Branch, Mississippi And Nationwide The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in FINRA securities law matters and works tirelessly to secure the best possible result for you and your case. Attorney Pearce’s FINRA defense skills are highly regarded throughout Mississippi and across the nation. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of FINRA disputes serving Mississippi citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Jun 29, 2021

Amarillo, Texas FINRA 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? You may have read that Byron Pat Treat of Amarillo, Texas was barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rule 8210 and 2010. In 1989, Byron Pat Treat joined Great Nation Investment Corporation while registered as a General Securities Representative and a General Securities Principal. According to the findings, FINRA sent a request to Treat to produce documents and information in connection with their investigation into whether Treat reasonably supervised the sale of illiquid investments. The findings state that Treat responded during a phone call with FINRA on February 9, 2021, stating that he received, acknowledged, and refused to provide any of the requested documents and information. Byron Pat Treat is subject to FINRA’s jurisdiction because he is currently associated with and registered through a FINRA member firm. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA staff shall have the right to “require a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically…with respect to any matter involved in the investigation, complaint, examination, or proceeding.” A failure to comply with a request for documents and information issued pursuant to FINRA Rule 8210 is a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, Byron Pat Treat might have avoided that FINRA 8210 bar from the securities industry with a skilled and experienced FINRA 8210 defense attorney. It is important, early on, to have a FINRA defense attorney advise you on how not to make matters worse and resolve the dispute with the least amount of sanctions which could range from censures to fines, suspensions, permanent bars, and/or referrals to federal or state prosecutors. You will need an experienced FINRA defense lawyer who not only has knowledge of FINRA rules and procedures, the securities laws and the appropriate sanction for the alleged misconduct but also has an excellent reputation and credibility with the FINRA attorneys to negotiate the best outcome. Free Initial Consultation With FINRA 8210 Defense Attorney Serving Financial Advisors Throughout Amarillo, Texas And Nationwide The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in FINRA securities law matters and works tirelessly to secure the best possible result for you and your case. Attorney Pearce’s FINRA defense skills are highly regarded throughout Texas and across the nation. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of FINRA disputes serving Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Jun 27, 2021

Plano, Illinois FINRA 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? You may have read that Bradley Allen Goodbred of Plano, Illinois was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rule 8210 and 2010. In 2009, Bradley Allen Goodbred joined LPL Financial LLC while registered as a General Securities Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that he had been terminated for allegedly violating firm policies. According to the findings, FINRA sent a request to Goodbred for documents and information in connection with their investigation into whether he failed to disclose and obtain firm approval to act as power of attorney for a customer. The findings state that Goodbred responded to FINRA during a phone call, stating that he allegedly received, acknowledged, and refused to provide the requested documents and information. Although Bradley Allen Goodbred is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA staff shall have the right to “require a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically…with respect to any matter involved in the investigation, complaint, examination, or proceeding.” A failure to comply with a request for documents and information issued pursuant to FINRA Rule 8210 is a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, Bradley Allen Goodbred might have avoided that FINRA 8210 bar from the securities industry with a skilled and experienced FINRA 8210 defense attorney. It is important, early on, to have a FINRA defense attorney advise you on how not to make matters worse and resolve the dispute with the least amount of sanctions which could range from censures to fines, suspensions, permanent bars, and/or referrals to federal or state prosecutors. You will need an experienced FINRA defense lawyer who not only has knowledge of FINRA rules and procedures, the securities laws and the appropriate sanction for the alleged misconduct but also has an excellent reputation and credibility with the FINRA attorneys to negotiate the best outcome. Free Initial Consultation With FINRA 8210 Defense Attorney Serving Financial Advisors Throughout Plano, Illinois And Nationwide The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in FINRA securities law matters and works tirelessly to secure the best possible result for you and your case. Attorney Pearce’s FINRA defense skills are highly regarded throughout Illinois and across the nation. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of FINRA disputes serving Illinois citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Jun 25, 2021

Jacksonville, Florida FINRA 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? You may have read that Autumn Jordan of Jacksonville, Florida was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because she failed to comply with FINRA Rules 8210 and 2010. In April 2019, Autumn Jordan joined Merrill Lynch, Pierce, Fenner & Smith Inc. in an unregistered capacity. The firm later filed an amended Form NRF (Non-Registered Fingerprint) stating that Jordan had been terminated due to alleged misconduct. According to the findings, FINRA sent Jordan a request to provide documents and information in connection with their investigation regarding her termination. The findings state that Jordan responded to FINRA through email, stating that she allegedly received, acknowledged, and refused to provide any of the documents and information requested. Although Autumn Jordan is no longer associated with any FINRA member firm, she remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA staff shall have the right to “require a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically…with respect to any matter involved in the investigation, complaint, examination, or proceeding.” A failure to comply with a request for documents and information issued pursuant to FINRA Rule 8210 is a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, Autumn Jordan might have avoided that FINRA 8210 bar from the securities industry with a skilled and experienced FINRA 8210 defense attorney. It is important, early on, to have a FINRA defense attorney advise you on how not to make matters worse and resolve the dispute with the least amount of sanctions which could range from censures to fines, suspensions, permanent bars, and/or referrals to federal or state prosecutors. You will need an experienced FINRA defense lawyer who not only has knowledge of FINRA rules and procedures, the securities laws and the appropriate sanction for the alleged misconduct but also has an excellent reputation and credibility with the FINRA attorneys to negotiate the best outcome. Free Initial Consultation With FINRA 8210 Defense Attorney Serving Financial Advisors Throughout Jacksonville, Florida And Nationwide The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in FINRA securities law matters and works tirelessly to secure the best possible result for you and your case. Attorney Pearce’s FINRA defense skills are highly regarded throughout Florida and across the nation. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of FINRA disputes serving Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Blog

Recent Posts