EXPERIENCED FINRA DEFENSE COUNSEL

FINRA Defense Counsel: Experienced Legal Representation for Industry Professionals

 

When a financial professional receives a letter from FINRA requesting documents or testimony—or worse, a Wells Notice alleging misconduct—the path ahead can feel uncertain and high-stakes. Regulatory investigations and enforcement actions by the Financial Industry Regulatory Authority (FINRA) or the Securities and Exchange Commission (SEC) can jeopardize a professional’s license, reputation, and livelihood. At AMW Law PLLC, we provide strategic and experienced legal representation for registered representatives, financial advisors, and other securities industry professionals who are facing regulatory scrutiny. With a unique background that spans defense, enforcement, arbitration, and compliance, Artur M. Wlazlo stands out as a trusted FINRA defense counsel ready to handle the most sensitive and significant regulatory matters.​​

 

Experience From All Sides of the Table:

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​What distinguishes AMW Law PLLC is not just legal acumen, but perspective. Artur M. Wlazlo has served in virtually every role relevant to FINRA enforcement:

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• As Senior Counsel in FINRA’s Enforcement Department, he investigated and litigated violations of securities laws and FINRA rules, conducted on-the-record interviews, negotiated settlements, and brought formal disciplinary actions.

• As a defense attorney at Greenberg Traurig LLP, he represented major broker-dealers and their registered reps in regulatory investigations, securities arbitrations, customer complaints, and enforcement actions.

• As a FINRA arbitrator, he understands what factors influence decisions in customer disputes and intra-industry claims.

 

This comprehensive experience enables Mr. Wlazlo to anticipate how regulators think, where they are likely to focus, and what strategies are most effective in mitigating risk or limiting exposure. His insider knowledge helps professionals avoid missteps and formulate strong, credible responses to regulatory inquiries.

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Early Intervention Is Critical

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Many professionals do not fully appreciate the seriousness of a FINRA 8210 letter until it is too late. These requests for documents or testimony are not mere administrative annoyances, they are often the first step in a formal enforcement process. How you respond to FINRA’s requests can shape the entire trajectory of your case.

 

As an experienced FINRA defense attorney, Mr. Wlazlo works closely with clients at the earliest stages of an investigation to:

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• Assess the potential scope of the inquiry.

• Advise on document production and privilege issues.

• Prepare the client for on-the-record interviews (OTRs).

• Identify mitigating factors or procedural flaws in the regulator’s theory.

• Negotiate the most favorable resolution, or prepare a strong defense for contested proceedings.

 

Whether the matter involves alleged sales practice violations, books and records issues, supervision failures, outside business activities, or Form U4/U5 disclosure concerns, early legal guidance can be the difference between a closed inquiry and a formal enforcement action.

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Navigating Wells Notices and Enforcement Proceedings

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If a case advances and you receive a Wells Notice, a notification from FINRA or the SEC that enforcement staff intends to recommend formal charges, swift and experienced legal advocacy is essential. A persuasive Wells submission may convince regulators to drop or limit proposed charges or penalties.

 

At AMW Law PLLC, we prepare thoughtful and forceful responses to Wells Notices grounded in facts, regulatory context, and industry standards. Mr. Wlazlo draws on his experience as a former FINRA enforcement attorney to frame the narrative in a way that regulators understand and respect. Where necessary, he litigates contested disciplinary actions, defending his clients in FINRA’s Office of Hearing Officers and through appeals to the National Adjudicatory Council.

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Defending Brokers in Customer Arbitrations

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In addition to regulatory enforcement, many financial professionals face customer claims alleging unsuitable investment recommendations, excessive trading, misrepresentations, or failure to disclose risks. These disputes are typically resolved through FINRA arbitration, where a panel of arbitrators determines liability and potential damages.

 

Having represented large broker-dealer clients in numerous FINRA arbitrations during his time at Greenberg Traurig, Mr. Wlazlo understands how to defend against customer claims with precision and professionalism. He conducts rigorous factual analysis, prepares persuasive defenses, and protects the broker’s interests through pre-hearing motions, witness examinations, and legal briefing.

 

These claims are not just about money, they often implicate a broker’s reputation, professional standing, and regulatory record. We approach each arbitration with the seriousness it deserves and a deep understanding of how these proceedings work from the inside.

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Form U5 and Termination-Related Claims

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A termination from a broker-dealer can trigger lasting reputational harm if the Form U5 is inaccurately or unfairly worded. Brokers may be compelled to explain disclosures in future job interviews or regulatory exams. In some cases, the broker may have a claim for defamation or wrongful termination.

As FINRA defense counsel, Mr. Wlazlo provides experienced guidance on U5 disclosures, negotiates language with former employers where appropriate, and pursues expungement or arbitration relief when warranted. He also defends brokers against attempts by former employers to enforce promissory notes or non-compete agreements.

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Serving Long Island, New York—and Beyond

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AMW Law PLLC is based in New York, serving clients throughout Long Island, Manhattan, and surrounding regions. We are proud to represent local brokers, advisors, and registered representatives in regulatory and arbitration matters. But because FINRA investigations and arbitrations are national in scope, we also represent professionals across the United States.

 

Whether you are facing a FINRA investigation in Garden City, a customer complaint in Brooklyn, or a disciplinary proceeding in another state, AMW Law PLLC brings the same level of rigorous representation and personal commitment to every case.

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Why Choose AMW Law PLLC?

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Regulatory defense is not a practice for generalists. It requires fluency in FINRA’s rules, a deep knowledge of brokerage firm practices, and the credibility to engage with regulators on equal footing. Artur M. Wlazlo brings a singular combination of qualifications to this field:

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• Over 20 years of legal experience in securities law.

• Enforcement background as Senior Counsel at FINRA.

• Extensive defense work for large broker-dealers and registered reps.

• Current FINRA arbitrator and with compliance experience at Morgan Stanley

• Trusted advisor to individual investors and financial professionals alike

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This breadth of experience means we understand the big picture, how firms operate, how regulators think, how arbitrators decide, and how to protect your rights at every stage.

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Contact Us Today

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If you’ve received an inquiry from FINRA, been named in a customer arbitration, or are concerned about a potential regulatory issue, don’t wait to seek counsel. The earlier you act, the more options you have and the stronger your defense can be.

 

Contact AMW Law PLLC today to speak with experienced FINRA defense counsel Artur M. Wlazlo. With a clear-eyed view of the regulatory system and a commitment to safeguarding your professional future, we are ready to help you respond, defend, and move forward with confidence.