Terminated by securities firm for violation of firm policy. Can I have the mark from my U5 removed?
Hello - I'm from NY, USA.
I was just recently terminated from a securities firm for violation of firm policy. My ex-firm will file a U5 with 30 days, per FINRA policy, stating the reason for my termination. They have the option to, and very well may, cite that the reason for termination is due to compliance issues.
I currently have another job offer lined up, but the potential mark on my U5 may jeopardize my offer there. This may also jeopardize future opportunities to find employment in the financial industry. I had no malicious intent when breaching firm policy (was an honest mistake and lack of judgement), and have no previous criminal history or history of misconduct. Is there any way I can have the mark on my U5 expunged in any way?
Appreciate any help or guidance.
What did you do?
Highly unlikely. Call a lawyer today.
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