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The Iceberg Of RIA Compliance Costs
Advisors must present their case to an arbitrator through FINRA’s dispute resolution forum in order to have an investor dispute or libelous U5 termination successfully removed from BrokerCheck or the CRD.
In this video, we explain how advisors can get through the difficult process unscathed in our latest Ask An AdvisorLaw Expert video series segment.
If you’re dealing with a meritless or false disclosure on your record, in the form of a customer dispute, FINRA form U5 termination, regulatory infraction, criminal disclosure, or more, contact us for a complimentary consultation immediately.
Engage with our experts today!