What is a FINRA OTR (on-the-record interview)?

What is a FINRA OTR, or on-the-record interview. In short, it is a formal interview by the FINRA staff, where a witness is under oath and the questions and answers are taken down by a court reporter. It is an investigative tool in certain investigations. If you are called to testify at an OTR, you should seek counsel, and be prepared for the interview.

Understanding a FINRA Exam, Part 3- Dispositions

In this third installment of our video blog series, attorney Joel Beck discusses the three common ways that a FINRA exam gets resolved, either through the exam being filed without action, resolved through an informal action, or resolved through a formal disciplinary action against the registered representative or associated person.

Understanding a FINRA Exam, Part 2

In part 2 of this video blog series, attorney Joel Beck of The Beck Law Firm, LLC discusses investigative steps used by FINRA examiners and explains how information and evidence is generally gathered during the investigation of a stockbroker's conduct by the regulatory organization.