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Can I sue my broker-dealer or RIA for damages if I was terminated?
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- Ask an AdvisorLaw Expert -
The language a firm uses on a terminated advisor’s Form U5 can cause irreparable damage to their public record and ability to move to another firm. This week, we talk with our President and Founder, Doc Kennedy, MBA, J.D., about how advisors can recover from a defamatory FINRA Form U5 termination disclosure.
The language a firm uses on a terminated advisor’s Form U5 can cause irreparable damage to their public record and ability to move to another firm. This week, we talk with our President and Founder, Doc Kennedy, MBA, J.D., about how advisors can recover from a defamatory FINRA Form U5 termination disclosure.
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