What is a U-5 form?
The U5 form is the Uniform Termination Notice for Securities Industry Registration, with instructions for filling it out can be found here
If you are applying for registration with a new broker-dealer, you can find the instructions for the Form U4 here. You are entitled to write a rebuttal to any item on your CRD report as long as it fits inside the box on the form. If you are unsure what to write, it would be wise to consult with a securities lawyer with experience in U-4 and U-5 form issues.
The U5 form is used by broker-dealers and investment advisers to terminate the registration of an individual. The language on a U-5 is supposed to accurately describe the circumstances surrounding the registered representatives termination. Wondering about your rights on a U-5? We can help.
Have you been defamed in a U5? Have you been named in an arbitration and you need a lawyer to handle the expungement process? Do you need a lawyer to help you submit language to the broker-dealer in connection with a U4 or U5? If so, contact the Dobin Law Group and see if we can help.