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Tag: U-5 attorney

Blog, Securities Fraud Articles

July 19, 2011

Expungement of U-4 Information

Are you a financial advisor with an unfair U-4 blemish? Is that blemish hindering your chances to find another job in the securities...

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Blog, Securities Fraud Articles

March 22, 2010

FINRA Arbitration of Employment Discrimination Claims

Can an employee waive his/her right to access to a court for statutory discrimination claims and be required to arbitrate such a claim? The...

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