Celesq® Programs

Going the Distance: Fighting Charges Brought by FINRAs Department of Enforcement

Program Number
Program Date
CLE Credits

Defending a client against charges brought by FINRAs Department of Enforcement presents unique challenges for practitioners. Attorneys will learn how to respond to FINRA discovery requests, prioritize the competing demands that clients face in balancing employment, regulatory, and criminal defense objectives, and understand FINRAs expectations for registered representatives and broker-dealers. The program will provide guidelines and techniques concerning each phase of such a proceeding, the pre-charge investigation, the acceptance, waiver and consent (AWC) process, Wells submissions, discovery in anticipation of hearing, and the hearing itself, as well as post-hearing appeals and proceedings.

Available in States

  • California
  • Georgia
  • New Jersey
  • New York
  • Texas Self Study

Program Categories

  • Administrative Law & Regulations
  • Banking & Finance Law
  • Federal Courts
  • Financial Regulatory
  • Financial Services
  • FinTech
  • Litigation & Litigation Skills
  • Litigation and Appeals
  • Regulatory and Administrative Law
  • Trial Skills


  • Areas of Professional Practice : 1 Credit