Author Archive: Thomas McCabe

On-The-Record: Survival Tips for Witnesses

By Thomas McCabe / February 2, 2022
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Thomas McCabe & Christopher Warren A securities self-regulatory organization (“SRO”), like the Financial Industry Regulatory Authority (“FINRA”), has invited you to give on-the-record testimony (“OTR”) in connection with a pending inquiry, investigation, or disciplinary proceeding. You may be a target or one of many targets. You may be viewed by the SRO’s Examiners/Investigators (the “Examiners”)…

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