Short answer: No. In many states, the defamatory statements your firm puts on your U5 may be defamatory per se, and...
Month: March 2022 Articles
It’s a Minefield – Reporting Outside Business Activities
Every so often your firm will have you fill out an OBA questionnaire. Whatever you do, before filling it out, talk it over with a lawyer! NEVER rely on management to get it right, especially if you have a good-sized book of business. They don’t know what they’re doing...
Can You Get Your U5 Expunged Without a Lawyer?
As my Scottish grandmother would say, “Good luck with that!” I’ve been at this for 20 years. I don’t think I’ve ever seen a broker get their U5 expunged in FINRA arbitration without representation. I’ve seen a broker beat a firm out of paying a promissory note or some...
Should You Wait to Get Your U5 Expunged?
Short answer: No. In many states, the defamatory statements your firm puts on your U5 may be defamatory per se, and you may have a better shot at getting damages in FINRA arbitration when you seek expungement. (See my previous blog.) But, you must bring a claim within...
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