Finra Arbitration Chicago, Hall Jackson and Associates P.C.

FINRA (The Financial Industry Regulatory Authority) is a third-party NGO that ensures that the laws governing registered securities brokers and broker-dealer firms are followed. If you have a dispute with your broker or broker-dealer employer (such as an unlawful termination complaint), FINRA has its own arbitration process through which the matter can be arbitrated. We specialize in FINRA cases related to Form U5 (the Uniform Termination Notice for Securities Industry Registration), which securities firms must complete when an employee leaves for any reason. Sometimes, employers submit U5 forms laden with language that is inappropriate and unfairly depicts the terms of departure and the performance of the employee. We can assist you in getting the language on the Form U5 expunged from your record through the arbitration process, so that you are free to seek employment unhindered at another firm.

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. 
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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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