FINRA Customer and Industry Arbitration: Response to a Cease and Desist Letter
A written response to a cease and desist letter in an FINRA Customer and Industry Arbitration matter.
We separate the claims that have real teeth from the ones that are posturing, answer only what helps you, and avoid the admissions that letters like this are designed to extract. The response can open a negotiation or draw a firm line, whichever the situation calls for. Prepared by an MC Law attorney and reviewed before it leaves the firm, so the position you take before filing is one you can hold afterwards.
Frequently asked questions
The fee covers review of the documents and correspondence you provide, the finished document, ready to send or to hold, and a short written note on the risks and the recommended next step. It is fixed at this scope: up to 4 pages. 2 rounds of revisions are included. If your matter falls outside that scope we tell you before starting and quote the difference — we do not bill past a flat fee without agreeing it first.
3 to 5 business days from a complete set of instructions, plus time for the 2 rounds of revisions included in the fee. If you are working to a court deadline or a closing date, tell us when you order and we will confirm in writing whether we can meet it before you commit.
$1,625 is $325/hour × 5 hours — the time this deliverable takes in an ordinary finra customer and industry arbitration matter, at the firm's standard rate. Because it is a flat fee, the risk of the work running long sits with the firm: you pay $1,625 whether it takes us the estimate or twice it.
Third-party costs are never inside a flat fee and are passed through at cost, never marked up: court and agency filing fees, court reporter and transcript charges, expert witness fees, search vendor and e-discovery hosting charges, process server fees, and travel.
A short description of the dispute and where it currently stands, the key documents, contracts, and correspondence, the parties involved and any deadlines already running, and the case caption and court, if a matter has been filed. Send what you have — if something is missing we will tell you what else we need before the turnaround clock starts.
Clients also order
Other FINRA Customer and Industry Arbitration work MC Law prepares on a flat fee.
FINRA Customer and Industry Arbitration: Arbitration Preliminary Hearing Submission and Scheduling Order
The preliminary hearing submission and proposed scheduling order for an FINRA Customer and Industry Arbitration arbitration, setting the discovery scope, the hearing format, and the deadlines.
FINRA Customer and Industry Arbitration: Arbitrator Selection Strategy and Strike Analysis
An arbitrator selection memo for an FINRA Customer and Industry Arbitration arbitration, with research on each candidate's background, awards, and publications, plus a ranking and strike recommendation.
FINRA Customer and Industry Arbitration: Cease and Desist Letter
A cease and desist letter that identifies the conduct at issue in an FINRA Customer and Industry Arbitration matter, explains why it is unlawful, and demands that it stop by a date certain.
FINRA Customer and Industry Arbitration: Demand Letter
A demand letter setting out your FINRA Customer and Industry Arbitration claim, the legal basis for it, and what you want the other side to do about it.
FINRA Customer and Industry Arbitration: Litigation Hold Notice and Custodian Protocol
A litigation hold notice tailored to an FINRA Customer and Industry Arbitration dispute, plus the custodian questionnaire and tracking sheet that make the hold defensible later.