Tag: Wells Notice

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Brokers Compliance Featured Articles Primer

The Wells Notice SEC/FINRA Investigations

By Mark Astarita Being the subject, target, or even a witness in an SEC or a seclaw.com/glossary/finra/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>FINRA investigation is not a pleasant experience. As I discussed in my column “When the SEC Comes Calling” a financial professional’s involvement in a regulatory investigation or proceeding is extremely serious, and can be […]

Brokers

The Wells Notice and Wells Submission

Receiving a subpoena from the SEC, or an 8210 Request from FINRA can be the start of a long investigative process while can ultimately lead to a seclaw.com/glossary/wells-notice/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>Wells Notice, and an enforcement proceeding. How you handle that process can dictate the end result, and you need to retain competent securities […]