New York, NY securities attorney Jenice L. Malecki talks about FINRA 8210 Request. She explains that a FINRA 8210 request is a formal letter sent to anyone registered with, or associated with, a broker-dealer, issued by FINRA’s Regulatory Enforcement staff. These letters typically follow a triggering event, such as a customer complaint, a termination with negative language on a Form U5, or a tip indicating a potential violation of FINRA rules. By the time an individual receives a 8210 request, they usually already have some awareness of the underlying issue—often through an internal investigation or during termination proceedings—making it crucial to have legal counsel at that stage.

Responding to an 8210 request requires careful attention: the response must be accurate, and crafted to show compliance with regulations, or, if there has been a violation, to explain mitigating factors. It is delicate work, as an unsatisfactory response can escalate into a full investigation, a reportable event on the individual’s license, and potentially lead to disciplinary hearings, fines, suspensions, or bars. Early engagement with experienced securities counsel allows the individual to address issues proactively, communicate effectively with FINRA staff, and potentially resolve matters before they escalate. This is an area where her expertise ensures clients navigate the process strategically and successfully.