One of the final stages of a FINRA investigation is an on-the-record interview, or “OTR.” An OTR is similar to a deposition or interrogation that focuses on an investment-related or regulation-related violation.
In this week’s Ask An AdvisorLaw Expert, we’re talking with our Ben Winograd, J.D., about what advisors can expect at this stage of FINRA’s probe, as well as how to avoid potential barring from the industry altogether.
- DOL Employment Rule Threatens Future Of Independent Advisors
- Why Financial Advisors Should Act Now To Remove False Disclosures From Their Public Records
- AdvisorLaw Helps Veteran Advisor Transition to Ideal Firm
- The Importance Of Form ADV Amendments & What RIAs Need To Know
- 70% Of Financial Advisory Firms Considered An Acquisition In 2022
If you’re under investigation and are in need of representation, our team of attorneys at AdvisorLaw can provide expert counsel. Contact us today for a complimentary consultation.
Transcript:
One of the final stages of a FINRA investigation is an on-the-record interview, or “OTR.” An OTR is similar to a deposition or interrogation that focuses on an investment-related or regulation-related violation.