Form U4 and U5 Expungement

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The U4 and U5 expungement attorneys at Dimond Kaplan & Rothstein, P.A. aim to protect securities industry professionals’ careers from false, defamatory, or inaccurate statements on Forms U4 and U5.

When a customer complaint is filed, a securities-industry employer is required to amend the securities industry professional’s Form U4 within 30 days to reflect the complaint on the registered representative’s record. Similarly, a securities-industry employer must file a Form U5 within 30 days of the termination of a securities industry professional’s employment, stating the reason for the termination. The information on Forms U4 and U5 is available to potential employers and the general public, and negative comments on a Form U4 or U5 can harm securities professionals’ careers and can lead to the loss of clients. If you believe your current or former employer made false, defamatory, or inaccurate statements on your Form U4 or U5, contact Dimond Kaplan & Rothstein, P.A. for legal advice.

Removal of False, Defamatory, or Inaccurate Statements

After a Form U4 or U5 is filed with FINRA, its contents cannot be amended or removed except through a FINRA arbitration proceeding seeking expungement. Contact a Dimond Kaplan & Rothstein, P.A. attorney for a consultation regarding a Form U4 or Form U5 that your employer has asked you to sign if you believe a statement on the Form U4 or U5 is false, defamatory, or inaccurate.

Our experienced FINRA arbitration attorneys represent brokers, traders, analysts, private bankers, and other securities-industry professionals in U4 and U5 FINRA arbitration expungement cases. Securities professionals also may have grounds to seek monetary damages caused by defamatory statements on Forms U4 and U5.

Speak with an Experienced Attorney Today

If your employer has filed a Form U4 or U5 with FINRA that you believe contains a false, defamatory, or inaccurate statement, contact  Dimond Kaplan & Rothstein, P.A. for a free legal consultation today at 888-578-3255 or fill out the form below.

We have offices in Miami, New York City, and Los Angeles and we represent securities professionals nationwide. Translation services are available in Spanish and Portuguese.

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