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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.
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.
- Juris Doctorate from the University of Denver Sturm College of Law
- Master of Business Administration (MBA) with a major in Finance from the Keller Graduate School of Management
- Bachelor of Science in Business Administration (BBA from the University of Minnesota)
- Former FINRA licenses Series 7, 63, and 55 and former L&H license
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