FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, securities firms and individual registered representatives. FINRA’s By-Laws provide that formal disciplinary actions involving members and associated persons charged with violations of FINRA Rules, the federal securities laws and the regulations thereunder, and the rules of the Municipal Securities Rulemaking Board be resolved by disciplinary hearing proceedings. Filing a Complaint with the Office of Hearing Officers commences a disciplinary hearing proceeding, and the conduct of the proceeding is governed by the Code.
The LAW OFFICES OF ALAN ABERGEL, P.C. (“LOAA“) provides the following services:
- Representation in FINRA investigations, including Rule 8210 requests.
- Representation of FINRA licensees in FINRA arbitrations and mediations and related state and federal court proceedings such as petitions to confirm or vacate arbitration awards.
- Representation of FINRA licensees in FINRA disciplinary proceedings, including investigations, administrative hearings, and appeals.
- Representation of Texas business brokers, M&A intermediaries, broker-dealers, financial planners, Investment Advisers, Investment Adviser Representatives, and middle market investment banks, in litigation and administrative proceedings before government agencies such as FINRA, Texas SSB, and the SEC.
- LOAA does not represent consumers.