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.
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