FINRA Investigations — To Joint Rep Or Not To Joint Rep?
Q: Do you wish to proceed?
A: Umm … yes?
This exchange, or something similar, should sound familiar to any lawyer who has been retained by a company to jointly represent it and those of its employees who have been called upon by the Financial Industry Regulatory Authority to provide on-the-record (OTR) testimony in connection with an enforcement investigation. While FINRA understandably asks the...
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