Taking a while to get your U5 expunged? Brokers who worked for this bucket shop who got a ding on their U5 on their...

SEC Industry Attorney // Securities Industry Law // Serving FINRA-member broker-dealers and SEC-RIA firms in handling regulatory issues and litigation.
Taking a while to get your U5 expunged? Brokers who worked for this bucket shop who got a ding on their U5 on their...
Been caught using a mouse mover? Companies are starting to crack down on brokers' U5s. Just four years ago, Wells...
Had a potential client call me the other day about his U5 situation, and learned that all you have to do is Google...
Had a potential client call me the other day about his U5 situation, and learned that all you have to do is Google...
These days, broker-dealers and RIAs are looking for any excuse not to hire you. That is, if you have any negative...
Every U5 case seems to start with a manager or supervisor taking an unhealthy interest in their reps, whether they...
A few weeks ago, one of my U5 expungement clients in Michigan got a call from a law firm based in Colorado asking if...
Every so often your firm will have you fill out an OBA questionnaire. Whatever you do, before filling it out, talk it...
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...
Short answer: No. In many states, the defamatory statements your firm puts on your U5 may be defamatory per se, and...
Generally, FINRA allows you upwards of 6 years to file a claim in arbitration to expunge your U5. This is true of both...
I keep seeing these firms with some twenty lawyers involved in helping brokers clean up their U5 records. You only...