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Guiding Witnesses Through The Minefield of FINRA On-The-Record Interviews (OTRs)

SKU: FIN8700
Total Credits
1 - 1.3
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One of the key Investigative Techniques used by the Financial Industry Regulatory Authority (FINRA) are on-the-record interviews (OTRs). This CLE course will discuss in detail the dynamics of FINRA OTRs and how to properly prepare and represent witnesses during these proceedings. What is FINRA really trying to accomplish. What should the witness try to achieve and how can the witness avoid dangerous pitfalls.

Lecturer Bio

Thomas J. McCabe, Esq.

Thomas J. McCabe, Principal of The McCabe Law Firm, P.C., (, has over 35 years experience in the area of securities regulation. He worked for two self-regulatory organizations, the New York Stock Exchange and the American Stock Exchange, before he began his career in private practice in 1985. Mr. McCabe has represented many broker-dealers and securities professionals in all aspects of SEC, FINRA and self-regulatory inquiries, investigations, disciplinary proceedings, arbitrations and litigation. You may contact me at: (917) 597-8221 or,

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