A client filed a complaint against me. The complaint was rather vague on several key facts, and I know he had an on-the-record interview with FINRA. FINRA has called me in for an OTR as well. They have declined my request for a copy of the client's transcribed testimony. I would like to refuse to appear until they give me a copy so I can see what the client says I did wrong. Can I?
The short answer is: No. FINRA Rule 8210 allows you to inspect the transcript of your own testimony. FINRA prohibits you, however, from reading the transcript of others who were called in for an OTR. Although you may well be entitled to those transcripts during a disciplinary hearing, that is not the case during the inspection phase.
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