
Why FINRA Expungements Can Remove Damaging Form U5 Disclosures
Because Form U5 filings are available to regulators, state agencies, and potential employers, misleading or inaccurate information can threaten the livelihood of broker-dealers, registered investment advisers, and other FINRA-registered financial professionals. To protect your reputation, it is imperative to take prompt legal action, which may involve seeking FINRA expungements. FINRA Expungements: When a Form U5 […]
Author: Jon-Jorge Aras