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FINRA Enforcement Defense.1629935521
What is an FINRA Enforcement Defense?

It's been suggested that you don't need an FINRA Enforcement Defense unless you're in trouble, because if you're innocent, there's no need for one. This is a common misinformed belief, even among attorneys. If an Insurance investigator asks you about your FINRA Registration, or whether you've ever filed a complaint, you should seriously consider providing them with detailed information. If this fails, your company would need a strong FINRA Enforcement defense to stand up to the scrutiny and questioning so you can keep your firm running smoothly without losing your integrity in the insurance industry.

Everything you disclosed or presented as evidence could be utilized against you, even if you're not guilty of any wrongdoing. Ask yourself what kind of information can an Insurance investigator get from a FINRA Enforcement Defense. Does the Enforcement Defense detail exactly how many complaints you've had, how long you've had them, and what was done or isn't being done about them? Also, can they tell you how many investigations and formalities have been conducted on you? All of these questions need answers before they can answer these questions.

You also want an Enforcement Defense that will be completely honest, totally transparent, and absolutely accurate. If a FINRA investigator asks you any point about your company, make sure you get all of the detail they ask for before saying anything. This could mean the difference between having your integrity and having your company subjected to further action, charges, and penalties by the FINRA.


It goes without saying that if you have any doubts about anything in your FINRA Registration, you should consult with an attorney before making a statement or providing information. The process of registering a company is much more complicated than most people realize. Also, any company with less than $1 million dollars will not be required to register. Companies that have higher values - such as billion-dollar companies - are required to register and stay in compliance with all of the various FINRA rules and regulations. The bottom line is that no matter what type of company you own or operate - whether it's a small startup or a larger company - you will still be required to comply with all the laws and regulations of FINRA.

So you see, even though the law requires the registration of a company, there are several other factors which go into the registration and continued operation of a company. Having an Enforcement Defense for your company is only one of the many things you need to ensure your company is in good standing with the FINRA. An Attorney that specializes in FINRA compliance is best suited for this purpose.

For SEC Enforcement defense considering establishing an offshore business - whether it be a sole proprietorship limited liability corporation, partnership, or any other type - it is important to find an Enforcement Defense that can provide the right information and resources to assist you and your company. Remember, any information you must provide to the FINRA should come from an authorized source. Additionally, you should never use any company name or contact information that is false, misleading, or deceptive. Always remember, if something doesn't seem right, it probably is. It is your responsibility to make sure your company runs smoothly and follows all of the requirements of the FINRA.


Here's my website: https://mahadvising.com/services/finra-actions/enforcement-defense/