Category Archive

What if I was wrongfully terminated by my broker-dealer?

Rule 4111 & Proposed Restrictions On Expungement Process Force Firm-Wide Disclosure-Removal Efforts

Managing The Form U5 When Departing A Firm

Can I sue my broker-dealer or RIA for damages if I was terminated?

How Advisors Can Bounce Back From A Termination

What is the process for expunging disclosures from BrokerCheck and the CRD?

Separating From Your Broker-Dealer

The BrokerCheck System’s Irrationality

Why are some terminations not publicly disclosed on BrokerCheck?

Safely Transitioning From Broker Protocol and Non-Protocol Firms