Introduction

During the Thanksgiving season, many of us spend time reflecting on what we are most thankful for.  Immediately, my family, and those closest to me (including my clients), come to mind.  As we meditate and think about life’s various changes, often we are faced with contemplating the effects and challenges of aging. Certain vulnerabilities can surface, such as diminished capacity and financial exploitation, which require forward thinking and purposeful action.

Introduction

FINRA Rule 8210 allows FINRA staff and adjudicators the ability to inspect and copy certain books, records and accounts of their member firms and those associated with such member firms.  Generally, Rule 8210 is used as a means through which FINRA obtains information for examining, investigating or proceeding against a member firm and its associated persons.