Street Legal: FINRA's Member’s-Only Club

Published Wednesday, July 01, 2009

We all know the game: your former firm makes defamatory and fraudulent misstatements on your Form U5 to delay approval of your new registration. They claim to have fired you, when you actually quit. They reference an ongoing internal investigation that you know nothing about. Some unnamed client(s) have complained about you, but there is no indication as to when or about what. Sometimes the nonsense rises a notch with scandalous telephone calls to your clients. It's often terribly hush-hush — callers from your former firm tell the client that they're just trying to confirm ...

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