Month: February 2022 Articles

Defamation Per Se: Another Reason To Clean Up Your U5 Sooner Rather Than Later

Generally, FINRA allows you upwards of 6 years to file a claim in arbitration to expunge your U5. This is true of both removing customer complaints that should not be on your record and in removing false and defamatory information placed on your U5 by your last...

How Many Lawyers Does It Take To Expunge Your U5?

I keep seeing these firms with some twenty lawyers involved in helping brokers clean up their U5 records. You only need one good lawyer to get this done right. You don’t need to have a bunch of folks standing around some breakroom gabbing about your case and billing...

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