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FINRA & SEC Investigations

Receiving a FINRA 8210 request or a subpoena from the SEC is often an unsettling event. Sometimes this is just the beginning of what may turn into a Wells Notice and then a full-blown disciplinary proceeding. Other times, you may just be a witness or have relevant documents. Either way, the smart move is to retain experienced counsel as soon as you see any signs of potential trouble. Weltz Law P.C. represents individuals and entities in FINRA and SEC investigations and proceedings.

FINRA & Sec Investigations

Notable Cases: FINRA/SRO/STATE/SEC Investigations & Proceedings

  • Represented public company in SEC investigation of internal controls.
  • Represented public company in SEC investigation of 10-K/10-Qs.
  • Represented hedge fund in SEC investigation of public company.
  • Represented public companies in FINRA insider trading investigations.
  • Obtained “No Action” and “Cautionary Action” letters from FINRA in investigations raising issues of selling away, outside business activity, sales practices, records retention, supervision, trade reporting and timing of U-4/U-5 disclosures.
  • Represented CCO in alleged Ponzi Scheme involving parallel investigations.
  • Represented broker’s broker in multi-year SEC investigation.
  • Resolved SEC 12(j) proceeding that did not include revocation of issuer securities.
  • Obtained rare exemption for broker dealer under FINRA taping rule.
  • Obtained rare pre-trial, voluntary dismissal of SRO disciplinary proceeding.
  • Vacated state securities bureau order to show cause seeking revocation of registered representative’s state securities license.
  • Represented CEO in state securities investigation raising blue sky issues.

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