Tag: SEC

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SEC Subpoena, FINRA OTR – What do I do?

The SEC Serves a Subpoena, or seclaw.com/glossary/finra/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>FINRA wants an OTR. Now what? By Mark J. Astarita, Esq. Introduction to SEC Subpoenas If you are served with an SEC Subpoena, or just receive a letter or telephone call from the SEC or FINRA 8210 Request, that call or subpoena is a […]

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Financial Adviser Legal Information Center

Ed: This section of SECLaw.com brings together commentary, news and links of interest to financial advisers.  Featured Books Securities Litigation and Enforcement in a Nutshell – The 2nd edition of the Securities Litigation and Enforcement Nutshell focuses on an area of law that burgeoned nearly two decades ago after the […]