FINRA FORM U5 Disclosures

Are you a FINRA-registered representative concerned with how your employer described or will describe your termination on your Form U5 filing?

Call today for a free consultation -- the Law Office of Jeffrey J. Kmoch may be able to help.

For registered employees of Financial Industry Regulatory Authority (FINRA) member firms who are involuntarily terminated, few things are more important to their career prospects than the contents of their U5 termination disclosures. 

If you are a registered representative of a FINRA member firm and have been involuntarily terminated or permitted to resign, your firm’s Form U5 disclosure explaining for your termination may be of critical importance to your future career prospects.  

Attorney Jeffrey Kmoch has extensive experience both litigating claims involving defamatory U5 filings and with pre-filing counseling to ensure U5 filings are accurate, complete, and non-defamatory.  If you were recently terminated as a registered representative and your U5 has not yet been filed or you believe your U5 filing is inaccurate and is affecting your career, call today for a free consultation.

FINRA member firms only have 30 days in which to file Form U5 disclosures and FINRA claims are subject to statutes of limitations and eligibility deadlines, so time may be of the essence


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