Month: April 2021 Articles

Defamation Claims, Privilege, and FINRA Arbitration

If you are a broker who has had what you think is defamatory language put on your Form U5, the only way you can compel changes to your record is to bring a defamation suit at FINRA Dispute Resolution against the firm that filed it. Although defamation laws vary...

Get Your U5 Cleaned Up While You Can

Form U5 defamation cases are on the rise, with a reported 24% increase over the filing period from 2019 to 2020. In 2020, Form U5 defamation cases were the fourth most common intra-industry claim filed with FINRA Dispute Resolution, behind breach of contract,...

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