U4 Expungement Attorney

Date12/8/2021 9:34:54 AM
FINRA Expungement is considered to be an “extraordinary remedy” and arbitrators are told that they should only recommend it under certain circumstances. Generally speaking, customer complaints and disputes. The information set forth on a broker’s Form U5 is recorded in each broker’s CRD file, and is made available to other broker-dealers for them to use in deciding whether to hire the broker. If a brokerage firm is seeking to retaliate against a broker, the firm may include defamatory information on the Form U5 that damages the broker’s good name and severely harms the broker’s ability to find new employment.
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