FINRA Arbitration

Areas of Practice at Hall-Jackson & Associates

The Financial Industry Regulatory Authority (FINRA) is the independent body that is in charge of the rules governing registered brokers and broker-dealers. FINRA has its own procedure to adjudicate any disputes through arbitration. Hall-Jackson and Associates can assist you with disputes concerning Form U5, the Uniform Termination Notice for Securities Industry Registration, that is required by the firm to complete when an individual leaves a firm for any reason. We can assist you in getting the language on the Form U5 expunged from your record through the arbitration process to allow you to seek employment at another firm. 

Our Areas of Practice

Black live matter, A.A.P.I. Love, Muslim, Latinx, Indian,... you are all welcome here.

Whistleblowing/Retaliation usually occurs when an employee exercises their rights in the workplace...

Defined by law is any unwelcome sexual advances or requests for sexual favors or any conduct of...

Buying or selling your home? Our office can assist you through the entire process.

A hostile work environment occurs when an employee experiences severe or pervasive harassment.

We recognize the value in creating intellectual property and understand the need to assist creatives and...

A hostile work environment occurs when an employee experiences severe or pervasive harassment.

Our Commitment To You

We serve as a diverse group of trusted advisors for employees and have been dedicated and committed to finding solutions for our client’s legal issues and serving as their fierce advocate in and out of courts. There are strict deadlines for filing a lawsuit of which you must be mindful. Do not miss out on the opportunity to hold your employer accountable for its unlawful actions. Unsure of the next steps to take? Call us for a consultation.

“The time is always right to do what is right.”


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Client Testimonials