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Overview: U4 Disclosures Expungement

How We Can Help: U4 Disclosure Expungement 0f Customer Disputes, Tax Liens &  Employment Separation Allegations.  We can also help with Defamation & Discrimination cases.  

Significant tightening of compliance and regulatory standards over the past decade, along with an increasing demand for transparency, invite scrutiny regarding disclosures on your U4. This information is readily available to hiring managers and also to the public through FINRA’s BrokerCheck site.

Have you reviewed your BrokerCheck profile recently?

Have a Separation Allegation or U4 Disclosure (Customer Dispute/Tax Lien)?  Experienced any form of  discrimination or defamation? Please Click Button to connect with a Consultant.

Have a Separation Allegation or U4 Disclosure (Customer Dispute/Tax Lien)? 

Experienced any form of  discrimination or defamation? Please Click Button to connect with a Consultant.

Impact of having a U4 Disclosure

Impact of having a U4 Disclosure

Financial Service compliance departments have a dramatically lower tolerance for even minor disclosures; a simple browse through of industry headlines provides numerous instances of million-dollar wirehouse producers which were terminated, even for complaints adjudicated years ago.

Disclosures negatively impact transition deals, trigger increased supervision requirements, weaken your relationships with your current clients, and deter potential clients.

Rule 2010 requires that all advisers’ websites provide a BrokerCheck link to easily see their compliance histories. Firms now provide full-disclosure “report cards” to all clients annually. In fact, FINRA’s BrokerCheck reports 71 million website hits in the last year alone (up from just over 29 million in the previous year).

Employment opportunities and compensation negotiation can be significantly restricted by disclosures. There are specific types of U4 disclosures that “red flag” compliance and seriously inhibit your choices when considering a move between firms. To best serve our candidates, we have extensively researched how to remove these blemishes from your record.

Customer Disputes: The unique nature of customer disputes should be evaluated through a one-on-one, case-specific consultation. Settlement preferences should be specifically discussed.

Federal Tax Lien Disclosures: The financial services sales cycle is volatile, lengthy, and commission-driven. In leaner times, advisers have frequently fallen behind on federal income taxes. We are aligned with those whom possess professional solutions which will navigate the IRS and FINRA component of lien disclosures.

Employment Separation Allegations: Even one of these disclosures makes it increasingly more difficult to find new employment. If you feel your separation disclosure does not reflect the proper circumstances for your dismissal, is a defamation of your character, or has hindered your ability to find employment, you owe it yourself, your family, and your clients to review your options.


Additional Legal Consulting Services

Discrimination: Have you been discriminated against or do you know somebody that has been discriminated against within the financial services industry? Many law firms would be happy to take the case but lack experience in the financial services space. Has your legal rep gone up against a full panel of attorneys from different broker dealers? Or negotiated a settlement? We can put you in contact with a low-cost solution comprised of attorneys intimately familiar with the nuances of the industry and what it takes to win.

Defamation: When you transitioned firms, did your previous firm do everything within their power to tarnish your reputation with your clients? If you lost even one client due to circumstances like this, we would like to help you evaluate your options.

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