Month: May 2025 Articles

What Is The Process For Expunging My U5? Really, the first step, the second you’re terminated, is to call a lawyer. Better yet, as you feel the water get warmer (insert boiling frog joke here) you should talk over your options for an exit strategy with a lawyer....

There’s No Laughing in Brokerage Being funny at work is a delicate balance of being just funny enough to entertain your coworkers but not so funny that you get sent to HR. These days, funny is OUT! Most of the FINRA broker-dealers you would work for these days have a...