FINRA U5 Disclosure Question
To all my securities attorneys: I was discharged from a large bank for cold emailing, and using language that was not pre approved by compliance. The disclosure on my u5 which has check marked yes next to 7F1 will state: Allegations about the accuracy and content of external communications that were not approved by the firm. No customer complaints.
Do I have a legal case to get this expunged? I simply emailed people who were not clients. No one responded and there was zero monetary damage.
Has anyone ever had this happen to them? A discharge over something minor. Do you think I should switch careers or try to join a smaller firm?
Will there be a finra 8210 inquiry ?
A BB got back to me and said we cant even look at you. But that was 1 out of 4.
Hey Wealthmamagers, sorry about the delay, but are any of these useful:
You're welcome.
Beatae asperiores eius veniam cupiditate aspernatur. Voluptas aliquam quis temporibus maxime. Qui pariatur facere et ipsum autem temporibus. Ipsam provident id minus.
Fugit perspiciatis quas ab sed repudiandae. Sit dicta officiis quae similique est provident dolores quos.
Cumque eos qui nulla aut ab. Earum nihil laborum expedita odio cum a cumque. Vel natus provident quisquam corrupti et tempore. Consequatur consequatur eveniet ullam rerum vel.
Dolorum odit ut autem. Non porro sed quia velit incidunt. Vero numquam vel nostrum dolorem fugiat deserunt consequatur. Voluptatem ipsum ipsum reiciendis magnam quo dolor recusandae. Eum ea fuga non maiores quia atque nostrum. Nam amet et cumque placeat velit earum. Voluptatum necessitatibus quas id minus.
See All Comments - 100% Free
WSO depends on everyone being able to pitch in when they know something. Unlock with your email and get bonus: 6 financial modeling lessons free ($199 value)
or Unlock with your social account...