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FINA 8210 letter

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Jul 25, 2017 11:43 pm

I recently received an 8210 notice from finra about my u5 termination.

Background: I was an internal wholesaler for a mf company. For all of 4 months, 1 month training 1 month dry stats.

My employer accused me of fabricating calls. I said I didn't they put on my u4 that I didn't meet managers expectations in regards to logging calls.

8210 says they are alleging I fabricated sales calls to meet daily goals. I did not. The calls in question are phone calls where I realized I misdialed (hit a number twice or just dialed the wrong number) which I think would be a regular occurance. Especially when you're expected to make 75 calls a day. We do not self report how many calls we make we're given a report the next day. I believe they were looking for a reason to fire me. The manager did not like me.

I did get compensated $600 a month for hitting my average call number. I was only live for 2 months. Are they alleging I manipulated comp?

Based off of cases I've read online, a lot of people hire lawyers to handle this for cases worth hundreds of thousands. And also that finra does fish a lot. I don't think my case is a big deal it did not involve consumers only calls to financial professionals and if they are alleging comp manipulation it was $600, 1200 total in 2 months and lastly it was b.s.

The lawyers I've spoken to want 2500 to help me up until the interview process if it gets to that point. Another is 7500 for start to finish. And the last one was 275 for an hr consultation followed by pay per hour of work. I'm 26 and don't exactly have a load of disposable income.


Anyone have experience with an 8210 That was a small case?