Washington DC
FINRA Defense

Accomplished Federal Criminal Defense Lawyer
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When you face a drug charge, you may be confused over what makes it a federal crime and not a state crime. You may also wonder what the classifications of drugs mean and how that can affect the outcome of your case. There are many aspects you should understand when facing such charges so that you can go to court prepared.

Phone: (202) 430-1900

Fax: (202) 430-1900

Office Location: 1101 17th Street NW Suite 1100
Washington, DC 20036

Hours: Monday - Friday | 8am - 5pm

Accused of a white-collar crime?
FINRA Defense Lawyer
FINRA Defense Attorney in DC 
FINRA cases are a niche area of law. Not every attorney you come across will have the knowledge or experience to successfully handle one of these cases.

Since your livelihood and reputation are on the line when it comes to FINRA defense, you must choose your legal representation carefully. Dennis E. Boyle, Attorney At Law, is an experienced FINRA defense lawyer who understands the complexities of FINRA enforcement.

This is a confusing process that even those familiar with FINRA do not always properly understand. You have too much on the line to go through it blindly. So, when you face a claim, you need help right from the beginning. With the right representation, you can overcome the many challenges of the process and properly defend yourself against claims.

Inside FINRA
The Financial Industry Regulatory Authority or FINRA is a government authorized organization. It is a non-profit and has the task of overseeing U.S. brokers and others working in this sector. It is self-regulatory with oversight from the Securities and Exchange Commission.

FINRA's job is to promote fair financial markets and protect investors. The organization has authorization under federal law to protect investors and ensure honesty and fair broker dealings. It is not subject to the due process clause.

FINRA Rule 8210 and the Wells Notice
When dealing with FINRA — whether as a defendant or plaintiff — you need to be most aware of Rule 8210 and the Wells notice. These will play a big role in your case.

Most cases will start with FINRA requesting information from the defendant under Rule 8210, which allows the organization to demand access to documents and information. The rule also allows the organization to depose an investigated person under oath.

The defendant may have to go through a deposition without knowing the charges or the information of the claims against him or her. In addition, a person cannot refuse to comply with a Rule 8210 request. If one attempts to, he or she could face a permanent ban.

If FINRA decides to initiate an investigation, it will issue a Wells notice. This provides a simple description of the charges, any rule violations, and instructions for filing the Wells submission, which is a defendant’s answer or argument to the charges against him or her.

If you face formal FINRA charges, you or she must make regulatory disclosures during the investigation. A FINRA defense lawyer can help you as you move forward after receiving your Wells notice so that you do not incur any further issues.

Types of Cases
FINRA cases can result in an award of substantial sums if they prove a defendant handled an account incorrectly. Though financial fraud can take many forms, some of the more common schemes that lead to substantial investment losses are as follows:
Unsuitable investments
Churning of accounts with excessive commissions
Excessive or inappropriate margin use
Unauthorized trading
Fraudulent statements
Inappropriate or bad recommendations
Failure to conduct due diligence
Conflict of interest
Unsuitable investments
Because of the wide array of potential claims investment professionals face, it is wise for them to have an experienced FINRA defense lawyer on retainer who understands this area of law and can assist them in defending themselves against bogus claims.
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  • Without Dennis' counsel, I do not believe that I or my business would have been able to thrive in today's healthcare industry. His experience and knowledge of the law is truly indispensable. Definitely worth every dollar I paid him!

    - Owen
  • Dennis is a gifted attorney. I had the opportunity to work with him first-hand on a variety of matters. Because of his depth of experience and intellect, Dennis was able to quickly identify issues and work toward a favorable resolution for his clients.
    - Susan C.
  • Dennis is a very experienced and skilled criminal litigation lawyer. Being both active in the International Bar Association (IBA), I have come to know Dennis as a person very much dedicated to his work and his clients, and with a broad up-to-date knowledge of legal matters.
    - Enide P.
  • “Dennis is an exceptional white collar defense attorney with global experience. I would not hesitate to call upon Dennis to advise, counsel, and try the most challenging cases for any client or contact of mine.”
    - M. Wolfe
  • “Dennis is an excellent attorney. I have had the pleasure of working with Dennis on numerous complex civil and criminal matters. Dennis handles cases thoroughly and comprehensively, providing his clients with the best possible representation.”
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  • “Mr. Boyle represented my in a federal income tax issue that became criminal. He helped me through the process and worked with IRS agents and prosecutors for months to reduce me sentence. In the end, I received a sentence of probation and was able to keep my business and put my life back together. My trust in him was well placed.”
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  • “On one of the worst days of my life, my business caught on fire, and the fire endangered my house that was next store. As I was trying to help the firemen fight the fire, two people I did not know showed up and told me I had to leave. When I tried to explain to them that I was helping the firemen, I was beaten with a club and tased with a teaser. The two police officers, who had not identified themselves, then arrested me for resisting arrest and assault them. They then took me in handcuffs to the hospital and then to the York County prison where I spent the night before making bail. I hired Dennis Boyle to defend me, and after a jury trial, I was found innocent of all charges. “
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Representation for Investors With Fraudulent Losses
Dennis E. Boyle, Attorney At Law, represents both defendants and victims in FINRA cases. From multi-millionaire private investors to the everyday retirement saver, we know from experience that no one is immune to investment fraud. We also understand how financially devastating a fraudulent loss can be. Fortunately, there are recovery options. We routinely help individuals recover from losses that result from the following:
Breach of Fiduciary Duty: Brokers and other investment professionals have a duty to make investment recommendations that are in their clients’ best interests. If a professional makes a recommendation that goes against this duty, he or she may be guilty of a breach of fiduciary duty. A common example of a breach of fiduciary duty as it relates to investing is recommending an investment solely to generate commission.
Misrepresentation: Misrepresentation occurs when an investment professional deprives an investor of the information necessary to make an informed decision. Common forms of misrepresentation occur when a professional misrepresents a company’s financial well-being, mischaracterizes the risk associated with an investment or withholds information regarding the fees and commissions associated with an investment.
Unsuitable Recommendations: Investment professionals have a legal obligation to provide their clients with “suitable” recommendations. A suitable recommendation is one that i) has a reasonable basis, ii) makes sense based on the investor’s financial profile and risk tolerance, and iii) is in line with the investor’s overall portfolio. Because unsuitable recommendations can cause unexpected losses, they are grounds for a FINRA claim.
Account Churning: Account churning, otherwise known as excessive trading, often involves the above three offenses and the excessive buying and selling of securities for the purposes of generating fees and commissions.
There are several other forms of investment fraud that can support claims in FINRA arbitration, including fraudulent statements, conflict of interest, failure to conduct due diligence, over concentration, unauthorized trading and pure negligence. Though unscrupulous investment professionals are often discreet in their transgressions, there are signs you can look for that may indicate you are the victim of investment fraud. Those include guarantees, complex strategies, account discrepancies, missing documentation and an overly pushy salesperson. If you suspect you are the victim of fraud, work with a knowledgeable attorney who can inform you of your rights, help you file a claim and represent you during the arbitration process.
The Arbitration Process Explained
All brokers agree to arbitration when opening an account, and you also agree to use FINRA dispute resolution, which is usually arbitration. This is typically an expedited process with a hearing that lasts a few days at most. Your case is eligible for arbitration if it is within six years of the time of the events leading to the claim.

This form of alternative dispute resolution involves you, the other party and one to three arbitrators that you and the other party select. You will be able to present your case, give testimony and provide evidence. The arbitrators will make a final, binding decision called an award.

The steps in the process include:
File claim
Answer claim
Select arbitrators
Hold prehearing conferences
Exchange information in discovery
Attend hearings
Receive decision
FINRA is not a part of the arbitration process beyond providing a forum and helping to enforce payments of the award. The process must follow all SEC approved rules. It is confidential, and no part is publicly available except the final award.

Throughout the process, you have the right to try to reach a settlement, which your FINRA defense lawyer can assist with. About 69% of cases result in settlements, and only 18% go through the whole process. The remaining cases end due to withdrawing the case, bankruptcy or court stay actions.

Why You Need the Right Representation
Dealing with FINRA is not easy because of the authority it has. If charged with a FINRA violation, you must abide by Rule 8210 throughout the process, even after the organization begins its investigations. You may not have the rights you normally would in a criminal or civil situation.

You will have to deal with unique procedures and arbitration rules that are outside the norm. It is not the same as going through the legal system.

You must be able to defend against claims in accordance with the rules, which is not something that comes naturally. Since it is a niche area of law, you have to find a defense lawyer who is well-versed in this area of law and who understands how to deal with FINRA rules and procedures.

You may have an offer to use the attorney at your brokerage firm. However, this is a bad idea because it creates a conflict of interest, leaving you vulnerable. The firm's lawyer is going to look out for the greater good and may offer you up to save the firm.

You need a defense lawyer who can walk you through the process while serving as your advocate and looking out for only you. Your attorney can assist you with:
Subpoena compliance
On the record depositions
Responding to Wells notices
Correcting filings or entries
Without proper legal representation, you can feel lost and confused by the process. You may even make decisions that carry long-term consequences. Your investment in your own legal defense is the right step to take because you will have someone on your side who understands what to expect and how to react.
Time Is of The Essence

FINRA Attorney Working for You

Now that you see what a difficult situation it is facing FINRA claims and investigations, you know the importance of a solid FINRA defense lawyer. Dennis E. Boyle, Attorney At Law, has the experience and understanding required to provide you with a defense strategy or recover from a substantial investment loss. Don't wait another minute to seek help. Contact us today!

Practice Areas

White Collar Criminal Defense

Those that find themselves charged with a white collar crime must make sure they have a dedicated defense attorney on their side.
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Investment Arbitration

These high-pressure cases can may prove especially difficult when dealing with countries known for high levels of corruption.
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Securities & Investment Crimes

With these white collar crimes you can face years or even decades of prison time, hefty fines and possibly other criminal charges.
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International Criminal Law

There are many criminal defense attorneys providing legal counsel throughout the Washington, DC area. However, very few of them have the professional experience and legal acumen to handle criminal defense on an international scale.
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Mail / Wire Fraud

Mail and wire fraud are two of the most frequently prosecuted crimes in the US. Both of these crimes are federal felony offenses.
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Fraud Cases

Fraud crimes are often prosecuted much more severely and often involve substantial amounts of money due to the violation of trust.
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Money Laundering

Money Laundering can lead to severe penalties including many years in prison, thousands of dollars in fines and asset seizure.
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Racketeering and Organized Crime

These offenses relate to interference with interstate commerce by threat or violence, interference with organized labor, money laundering, murder-for-hire and illegal gambling.
Learn MoreOrganized Crime in the BalkansWest African Organized Crime


Mail and wire fraud are two of the most frequently prosecuted crimes in the US. Both of these crimes are federal felony offenses
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Cyber Crime

Cyber crime is a relatively new and rapidly growing area of law. Too many people, and too many lawyers, think that cyber crimes are just like any other crimes.
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