If you have been blindsided by a new customer complaint or threatened with FINRA Form U4 or U5 termination, ask your firm's compliance who they represent. It is not you.
Allegiances fade quickly. Do not let your firm use the language on your Form U4 or Form U5 termination disclosure as leverage or a weapon to retain your clients.
If you were terminated by your broker-dealer or RIA, or you know that a U4 or U5 termination is imminent, hiring AdvisorLaw now is critical to ensuring that your interests are represented. And if your firm is alleging regulatory or firm policy violations, this may be merely the first of many dominoes to fall in a much larger FINRA or SEC enforcement investigation.
We can help address the following factors of concern:
- Current notes payable to the firm
- Defamatory allegations entered on your U5 disclosure
- Broker Protocol or non-compete issues
- Misrepresentation of the scenarios regarding your departure
- Incorrect dispositions that are misleading as to which side initiated leaving
- Enforcement investigation due to allegations
- U5 termination disclosure now displayed on BrokerCheck and the IAPD
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Contact us to discuss AdvisorLaw's Customer Complaint or U5 Termination Defense services.
The consultation is free, and our services were created exclusively for financial advisors