Securities Litigation Attorney in New York, New York

What is the process for responding to a FINRA or SEC investigation?

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I could not be stringent enough to tell

you that in responding to a finra 8210

request which is the start of

Investigation or an SEC subpoena you

must must must get experience counsel

why there are so many Securities laws

and there’s other laws too there’s the

IRS the SEC if you get an SEC subpoena

the SEC sees something that should have

been reported to the IRS they’re going

to report it to the IRS it’s it’s

important to try to get a lawyer that

can narrow the scope of the documents

being produced that can make sure that

in answering one question you’re not

showing the violation of another issue

and there’s just again lawyer speak

versus layperson speak a Securities

lawyer knows the way to deliver the

information in the way that is best

going to protect you I truly believe

that unrepresented people do not get a

fair Shake in these proceedings that I

hate to say will be taken advantage of

but I I do think that happens so it is

really really really important

to get counsel don’t be Pennywise and

pound foolish this is is not a time to

do that

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