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.
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.
Do not wait, Contact our office today
— MARTIN LUTHER KING JR.
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