Phase 1
Formal FINRA Rule 8210 Letter Inquiry
- Rule 8210 letters are the initial stage of a FINRA enforcement investigation.
- These letters, which often reference a Matter No. or Star No., are designed to gather preliminary information.
- Crucially, Rule 8210 is your first notice that FINRA is building a case, and the information provided can and will be used against you later in the process.
Phase 2
Formal FINRA Enforcement Investigation
- This stage is initiated when the response to the initial Rule 8210 inquiry merits a deeper review.
- Investigations may also be opened simultaneously by other agencies, including State Attorneys General, securities regulators, and the CFP Board.
Critical Note: Every action taken in an enforcement matter, from the initial inquiry onward, is designed for the authority to build a case against you. Admissions at any point can severely compromise future settlement or negotiation efforts and jeopardize your entire career.

Josh Barber

Tad Burton, J.D.
Managing Director
of Client Relations

Jennifer Cox, J.D.
Senior Associate

Austin Davis, J.D.
Senior Associate

Dalton Hodges
Lead Administrative
Law Assistant

Josephine Jiron
Account Development
Representative

Doc Kennedy, MBA, J.D.
President & Co-Founder

Jason Kirkland
Executive Director

Peter Lindholm, J.D.
Associate

Meredith McNulty
Account Development
Manager

Alex PadLa, J.D.
Senior Associate

Tyler Reynolds, J.D.
Associate

Ric Rivard
Business Development Executive

Sheyla Serrano
Client Relations Manager

Daniel Simms
Account Development
Representative

Janay Simmons
Administrative
Law Assistant

Carla Smith

Michael Wunderlich







