How FINRA Encroaches On Attorney Work Product

Law360, New York (December 7, 2011, 1:23 PM EST) -- The Financial Industry Regulatory Authority has long taken the position that the Federal Rules of Evidence do not govern the manner by which they conduct their investigations. Not allowing objections from counsel, asking questions that have been asked and answered, and asking argumentative and leading questions are just a few of the ways in which FINRA, in the interest of expedience and control, does not apply the Federal Rules of Evidence.

In one important area of protection for witnesses and defense counsel, however — namely the...
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