Aug. 30, 2022
August 30, 2022 I certainly believe that there needs to be a fair in way to dispute any of the allegations that a representative has on their U4/U5. There are many broker dealers out there that will put things that are not complete or accurate. I think this current proposal that FINRA is proposing will create an additional layer of obstacles and unfortunate setbacks for people looking to dispute a claim a broker dealer and/or client stated.