Anyone ever get hired after a U5 termination disclosure ?
Title says it all. Anyone ever bounce back from a u5 termination? So far 1 bb has said no. Waiting on the other bbs. They all have my u5 language. The language is: allegations against the content and accuracy of external communication that was not approved by the firm. No customer complaints.
I cold emailed prospects without pre approving the emails per compliance. I was coming from a firm where you could do that. I admit my mistake and will never ever do it again.
So my question again is, anyone here ever get fired or know someone who was fired due to u5 issues? How did they bounce back or did they completely switch out of finance ? I still have my 7 65 and 3 licenses and raised 10 million during my time at the bb. Obviously those arent my clients anymore.
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