Attention registered representatives. If you have been notified by FINRA that you are the subject of a FINRA examination or FINRA investigation you need competent legal counsel to guide you through this challenging process. Your license, career and potentially tens of thousands of dollars of fines are at stake. Do not go to the initial exploratory conference unprepared where you will be required to give on the record testimony that can be used against you by FINRA’S Office of Hearing Officers.

Call the Soreide Law Group today to discuss your legal rights. We defending clients in investigations and litigation before the, Financial Industry Regulatory Authority (FINRA), the Office of Hearing Examiners (OHO), the National Adjudicatory Council (NAC) and the U.S. Securities and Exchange Commission (SEC). Call 888-760-6552 or email lars@stockmarkelawsuit.com. Please feel free to continue to read further about this process.

OVERVIEW OF THE PROCESS

FAQ - FINRA HEARINGS

PUNISHMENT CONSIDERATIONS

FINRA FINES POLICY