How to Handle FINRA Rule 8210 Request: A Comprehensive Guide
Through Financial Industry Regulatory Authority (FINRA) Rule 8210, FINRA staff and adjudicators are given the authority to investigate a member firm’s books, records, and accounts for potential rule violation. Receiving a Rule 8210 request from the FINRA can be a great source of ordeal. Organizing the requested documents and information will need an intricate and thorough planning for seamless compliance. To avoid further damage in the course of the inquiry, it is imperative for companies to have a clear understanding of the subject of the 8210 letter. Counsel should be well-versed of the process involved as it’s critical in reducing the risks of adverse consequences.
In this LIVE Webcast a panel of thought leaders, professionals, and practitioners assembled by The Knowledge Group will provide the audience with an in-depth analysis of the fundamentals in handling a FINRA Rule 8210 Request. Speakers will also share best practices to avoid risks and pitfalls.
Key topics include:
- FINRA Rule 8210 Request: A Primer
- FINRA Inquiry Process
- Key Provisions and Rulings
- Best Compliance Practices
- Challenges and Risk Issues
Robert J. Harvey, Partner
Jenks & Harvey LLP
- Scope of Rule 8210
- Preparing the witness for oral or written testimony
- Goals of a Regulatory Representation
Gary Kessler, Chairman, Shareholder
Kessler Collins, P.C.
- Organizing the Team to Respond
- Attorney Client and Work Product Privilege Including Internal Investigation
- Conflict of Interest in Multiple Representation of the firm and individuals
Brian P. Nally, Partner
Reminger Co., LPA
- Unique issues—can FINRA request documents maintained by Outside Businesses (through the operation of Outside Business Activities) and can FINRA request that your client create documents or collect documents from third parties?
- Litigation concerns—can your production be discovered by a private litigants?
- Penalties/Fines—a discussion of FINRA’s guidance, and recent penalties and awards.
Who Should Attend:
- Financial Crime Attorneys & Consultants
- Finance Lawyers
- Corporate Governance Attorneys
- Banking & Finance Attorneys
- Investment Attorneys
- M&A Attorneys
- Securities Attorneys
- Financial Executives & Officers
- Bank and Financial Executives
- Legal and Compliance Executives
- Other related & Interested Professionals
Robert concentrates his practice in securities litigation, arbitration and regulation. He has represented major brokerage firms and financial institutions, directors, officers, and financial advisors, in complex litigation in both state and federal courts, and FINRA arbitration.
Robert also defends financial institutions and individuals in regulatory proceedings before the SEC, FINRA, and state regulatory authorities. Additionally, Robert represents individual and institutional investors who have suffered monetary losses as the result of securities fraud. Robert began his career with the United States Navy, where he served on active duty from 1986-1990 as a Navy Judge Advocate and Special Assistant U.S. Attorney. After leaving active duty, he entered private practice in Chicago, Illinois, specializing in the areas personal injury defense and insurance coverage.
Robert concentrates his practice in securities litigation, arbitration and regulation. He has represented major brokerage firms and financial institutions, directors, …
Brian is a Partner practicing out of Reminger’s Cleveland and Indianapolis offices. His national litigation practice focuses on securities litigation and arbitration, business and commercial litigation, directors and officers liability, and employment law. Brian has served as lead counsel in litigation or arbitration disputes in Ohio, Indiana, Michigan, Minnesota, Wisconsin, Louisiana, and Kentucky, and regularly represents clients in state and federal court, as well as arbitration before the Financial Industry Regulatory Authority (FINRA) arbitration and American Arbitration Association (AAA).
Brian has experience representing clients in the financial services industry in government regulatory investigations and enforcement actions brought by FINRA, the Securities and Exchange Commission, professional boards (e.g, the CFB Board), the department of securities, the department of insurance, and the Internal Revenue Service. He also has experience representing companies and individuals with employment and discrimination-related issues before the U.S. Department of Justice, the U.S. Department of Housing and Urban Development, the U.S. Equal Employment Opportunity Commission, the Ohio Department of Jobs and Family Services, and/or the Ohio Civil Rights Commission.
Brian is a Partner practicing out of Reminger’s Cleveland and Indianapolis offices. His national litigation practice focuses on securities litigation …
Gary Kessler is Board Certified in Civil Trial Practice and has been named Texas "Super Lawyer" and included in the Best Lawyers in America for over twenty years. He has tried cases involving insurance, securities, intellectual property and corporate matters and has argued before the Texas Supreme Court and multiple Federal Circuit courts. His broad experiences through commercial litigation helped set the standard for excellent client service at Kessler Collins.
Gary has national and international experience. He has represented the People's Republic of China in claims arising under the Foreign Sovereign Immunities Act, as well major financial institutions, insurers (both domestic and foreign) and international corporations.
He is a frequent lecturer for industry groups and is an instructor for the National Institute of Trial Advocacy. Gary is a member of the Inns of Court, an organization whose principal mission is to teach young attorneys the value of ethical advocacy in a litigation practice.
Gary Kessler is Board Certified in Civil Trial Practice and has been named Texas "Super Lawyer" and included in the …
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Method of Presentation:
General knowledge of FINRA Investigation
NY Category of CLE Credit:
Areas of Professional Practice
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About Jenks & Harvey LLP
Jenks & Harvey LLP is an international securities litigation and arbitration law firm, with a rare and invaluable grasp of strategic commercial issues. We combine exceptional legal expertise with deep industry knowledge and refreshingly creative thinking to help clients achieve their commercial goals.
For more information about Jenks & Harvey LLP and its practice areas please visit our website at www.jenksharveylaw.com.
About Reminger Co., LPA
At Reminger, we embrace our Midwestern roots. We value hard work, a roll-up-yoursleeves approach and get-it-done attitude. It is our belief that this mindset, combined with our relentless pursuit of delivering results in the most efficient manner possible, drives the continuing demand for our services. We are proud of our reputation not only as a seasoned litigation firm with a diverse client base, but also as a sophisticated provider of legal services encompassing real estate, corporate, business, tax, estate planning, probate disputes and more.
About Kessler Collins, P.C.
The attorneys of Kessler Collins have a wealth of education and experience. Yet despite the scope of credentials you would be hard pressed to find a more accessible firm. We thrive on interacting with our clients, and take pride in the many long-term relationships we have cultivated. These relationships continue because we invest in our clients by providing services that enhance their business and increase their success.
Kessler Collins employs a team approach to our clients’ business to ensure the availability of attorneys who are aware of their issues and can address them promptly. We work hard to learn not only our client’s business and the issues that affect their industry. We pride ourselves in knowing the law and the surrounding fact and circumstances in the matters we handle. Most of our attorneys have been practicing for more than 25 years each. We have board certified attorneys, attorneys who are members of the College of the State Bar of Texas, attorneys who have been named as among the best in their field by rating groups and attorneys who have had real life experience in the business world. We know what we can do and we do it well.