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Faced 5+ Years in Prison

People Vs Joseph Amico

Covered by NYDaily News. Las Vegas man accused of threatening a prominent attorney and making vile remarks.

Faced 10+ Years in Prison

People Vs. Anna Sorokin

Covered by New York Times, and other outlets. Fake heiress accused of conning the city’s wealthy, and has an HBO special being made about her.

Faced 3+ Years in Prison

People Vs. Genevieve Sabourin

Accused of stalking Alec Baldwin. The case garnered nationwide attention, with USAToday, NYPost, and other media outlets following it closely.

Faced Potential Charges

Ghislaine Maxwell Juror

Juror who prompted calls for new Ghislaine Maxwell trial turns to lawyer who defended Anna Sorokin.

Law in the Media

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FINRA Enforcement Defense Lawyer

FINRA is an independent body that regulates the financial markets. It protects the interests of investors by ensuring that actors in the financial markets such as financial advisors and broker-dealers are fair in their dealings. They also ensure compliance with the rules set by other regulatory bodies. FINRA has the power to launch disciplinary proceedings against individuals and brokerage firms. It then imposes severe penalties on those found guilty of non-compliance. The penalties can be in the form of fines, suspension, or even a permanent ban from the industry.

Due to the severity penalties, full compliance with the set regulations should be a priority for every broker and firm. At Farar & Lewis LLP, we have a team of dedicated FINRA compliance defense lawyers. Having been in the industry for many years, the attorneys understand FINRA regulations in and out. Furthermore, they have helped many clients achieve full FINRA compliance. They will take time to evaluate your day to day activities and point out the actions that are likely to put you on FINRA’s radar. Besides that, when FINRA investigators come knocking, our team of no-nonsense lawyers will defend you with conviction and passion.

There are many reasons why FINRA investigators would want to review your conduct. These reasons include complaints from customers, tips from other industry players, referrals from employers or regulatory bodies, and surveillance reports. FINRA conducts disciplinary procedures through settlements or formal complaints. In the case of a settlement, the broker or firm solves the case through a letter of waiver, consent, or acceptance. Formal complaints are heard before a bench of FINRA officers. The accused brokers are given a chance to defend themselves after which the FINRA bench pronounces its verdict. Last year, FINRA initiated more than 1300 cases. The cases resulted in $133.6 million in reimbursements to affected investors.

Both formal complaints and settlements can have favorable and unfavorable outcomes. Before deciding the way to go, it is advisable to contact a FINRA compliance defense lawyer. These lawyers know the circumstances under which each of the methods is suitable.

More about FINRA

FINRA was commissioned by Congress to minimize fraud in the securities markets by monitoring the activities of brokers and brokerage firms. Today, FINRA oversees over 630,000 brokers and 3,900 brokerage firms. It also analyzes more than 50 Billion financial transactions every day. Every broker who eyes the USA market must register with FINRA.

To ensure fairness and integrity in the securities market, FINRA makes and enforces rules that govern broker-investor deals. It is also involved in assessing and licensing brokers.

Where to find FINRA compliance lawyers

You can contact Farar & Lewis LLP for FINRA compliance legal services. Our services include

  • Providing SEC and FINRA compliance recommendations
  • Arbtration in FINRA disputes
  • Handling FINRA and SEC compliance assessments and enforcement measured
  • Dratfting and reviewing critical documents such as letters of waiver and promissory notes
  • Handling of FINRA registration and disqualification cases
  • Defending brokers facing CFP board inquiries
  • Defense of SEC examination and enforcement measures
  • Expungment of negative disclosures from Form U4/U5/BD
  • Going through client advisory agreements
  • Helping brokers in moving from one brokerage firm to the other

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I was searching for a law firm with some power to help me deal with a warrant in New York . After 6 days I decided to go with Spodek Law Group. It helped that This law firm is well respected by not only the top law firms in New York , but the DA , Judge as well. I...

~Fonder Brandon

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It was my good fortune to retain Spodek Law Group for representation for my legal needs. From the beginning, communication was prompt and thorough. Todd, Kenneth and Alex were the first people I worked with and they all made me feel comfortable and confident that the team was going to work hard for me. Everything was explained and any concerns...

~A G

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After meeting with several law firms, I chose the Spodek Law Group not only for their professionalism and experience, but for the personal attention given to me right from the initial consultation. It is important to recognize how crucial having the right legal team is when faced with potentially life altering events that impact families and the lives of loved...

~George Cherubini

Spodek Law Group

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We Provide Superior Service, Excellent Results, At A Level Superior To Other Criminal Defense Law Firms. Regardless Of Where Your Case Is, Nationwide, We Can Help You.
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