LEGAL GUIDE
Written by attorney Robert Lowell Herskovits

FINRA Investigations: U4 & U5 Disputes & Defenses

FINRA investigations relating to U4 disclosures and U5 terminations are explained by Rob Herskovits, a NY based securities lawyer with a national practice focused on helping financial advisors and broker dealers defend themselves and protect their rights, their assets and securities industry careers. Rob Herskovits focuses here on defenses in U4 and U5 based FINRA inquiries

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