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For stockbrokers who have dedicated years to building their careers, the termination of employment by a brokerage firm can be a devastating professional blow. This challenge is often compounded by the filing of a Form U5, the Uniform Termination Notice for Securities Industry Registration, which can cast a long shadow over a broker’s future prospects. […]
For dedicated stockbrokers like you, your reputation is everything. It’s the bedrock of client trust, the currency of your relationships within the industry, and the key to your continued success. You’ve worked tirelessly to build your book of business, navigate complex markets, and serve your clients with integrity. But then it happens. A termination. And […]
If you’re a financial professional staring at a customer complaint, a marked Form U4, and the dread that your career might never recover, I’ve been in your shoes. My name is Jessica, and I’m a stockbroker who lived through the gut-wrenching ordeal of the FINRA expungement process. I’m here to share my story—the highs, the […]
Clearing your U5, take action today to restore your professional reputation with Bakhtiari & Harrison Being a FINRA registered representative comes with many responsibilities and expectations. When a brokerage firm terminates you with inaccurate or exaggerated language on your U5 form, it can feel like your career has hit a dead end. Such language can […]
FINRA plays a crucial role in regulating brokers and resolving disputes between investors and brokerage firms. One of the key rules that comes into play in certain arbitration cases is FINRA Rule 13805, which governs how arbitrators handle cases involving the expungement of customer dispute information. Expungement is a process that allows brokers to remove […]