FINRA Defense Counsel for Financial Professionals, Compliance Officers & Brokerage Firms

In today’s regulatory environment, financial professionals operate under intense scrutiny. A single misstep, or even an unfounded allegation, can jeopardize your registration, reputation, and career. At AMW Law PLLC, we provide focused, experienced defense in matters involving FINRA investigations, disciplinary proceedings, customer complaints, and arbitration claims. Whether you are a registered representative, branch manager, compliance officer, or brokerage firm principal, our firm delivers strategic advocacy at every stage of the regulatory process.

Led by Artur M. Wlazlo, a former FINRA Senior Enforcement Counsel and seasoned securities arbitration attorney, we offer a rare and valuable perspective: we’ve sat on every side of the table. From handling enforcement investigations at FINRA to defending firms at major law firms, and now representing professionals and firms nationwide, our experience equips us to anticipate regulators’ moves and aggressively protect your interests.

Responding to a FINRA Rule 8210 Request

Receiving a FINRA Rule 8210 request is often the first indication that you are the subject of an investigation - or at least a critical witness. These requests require careful attention. FINRA has broad authority under Rule 8210 to demand documents, written statements, and in-person interviews. Failure to respond truthfully, completely, or on time can result in severe sanctions, including a bar from the industry. We help clients:

• Evaluate whether they are a subject, target, or third-party witness

• Gather and produce responsive records strategically

• Prepare for On-the-Record (OTR) interviews

• Navigate privilege issues and confidentiality concerns

• Avoid self-incrimination or Rule 8210 or 2010 violations in testimony

Having a FINRA defense attorney with firsthand experience inside the Enforcement Department can make all the difference. We know how FINRA builds its cases, and how to spot weaknesses in their theory of liability.

Defense in FINRA Disciplinary Proceedings

If FINRA believes you violated industry rules, it may file a formal complaint, triggering disciplinary proceedings. Allegations may include violations of:

• FINRA Rule 2010 (Standards of Commercial Honor)

• Rule 2210 (Communications with the Public)

• Rule 3270 (Outside Business Activities)

• Rule 3110 (Supervisory Duties)

• SEC Rules, including Reg BI and antifraud provisions

Disciplinary cases carry serious consequences such as suspensions, fines, bars, and reputational harm. We offer strong, informed defense in these high-stakes matters, including:

• Pre-litigation settlement negotiations (AWC process)

• Litigation before FINRA’s Office of Hearing Officers (OHO)

• Appeals to the National Adjudicatory Council (NAC)

• Strategies involving the fairness doctrine and mitigating factors

As a former FINRA enforcement lawyer, Artur M. Wlazlo knows which arguments resonate and how to challenge investigatory overreach.

Representation in Customer-Initiated FINRA Arbitrations

We also represent financial professionals and firms in FINRA arbitration defense, where investors allege misconduct such as:

• Unsuitable recommendations

• Breach of fiduciary duty

• Misrepresentations or omissions

• Unauthorized trading

• Failure to supervise

Even if the investor’s grievance is meritless, these arbitrations can be costly and disruptive. We provide:

• Early case assessment and strategy

• Motion practice (including motions to dismiss under Rule 12206)

• Discovery management and protective orders

• Expert witness coordination

• Arbitration hearing preparation and trial advocacy

When appropriate, we also explore cost-effective settlement paths while protecting our clients’ U4/U5 disclosures and reputational concerns.

Why Financial Professionals Choose AMW Law PLLC

We are not a generalist litigation firm. AMW Law PLLC is a boutique practice devoted to securities law, FINRA defense, and regulatory compliance. Our clients appreciate that we understand the financial industry from the inside out. Attorney Artur M. Wlazlo’s career includes:

• Serving as Senior Counsel at the FINRA Department Enforcement

• Representing major broker-dealers at Greenberg Traurig LLP

• Working in-house in Morgan Stanley’s Legal & Compliance Division

• Serving as a current FINRA arbitrator

This 360-degree perspective gives our clients an advantage, whether the case involves complex supervision systems, surveillance triggers, or firm-wide compliance protocols. We speak the language of the industry and the regulators.

Our office in Uniondale, NY, serves clients across Nassau, Suffolk, Manhattan, and Westchester, but our FINRA defense practice is national in scope.

Confidential Consultations Available

If you’ve received a FINRA 8210 request, are under investigation, or need counsel for an upcoming arbitration, don’t wait. Engaging experienced counsel early can shape the course of the matter, and prevent avoidable harm to your registration and career.

Contact AMW Law PLLC today to schedule a confidential consultation with a seasoned FINRA defense attorney. We’re ready to help you navigate the process with clarity, professionalism, and strategic foresight.