Practice areas

U-4 & U-5 Violations

Name: Stoneman Law
Address: 301 Snowcrest, Westcliffe, CO, 81252, US
Telephone: (719) 783-0303
Price range: Free consultation — hourly, contingency, or hybrid fee arrangements

Forms U4 and U5 are the regulatory records that follow a broker through their career. A false or defamatory statement on a U5 termination notice, or an unfair customer complaint on a U4, can end a broker's career. Tracy Pride Stoneman also represents brokers in these disputes.

The U-4 and U-5 are regulatory forms that brokerage firms use to report information about registered representatives to FINRA. Firms sometimes make false, misleading, or defamatory statements on these forms, which can permanently damage a broker's career and reputation. Tracy Stoneman represents brokers seeking to expunge or correct inaccurate disclosures.

If any of this sounds like your account, the next step costs nothing: a free, honest evaluation. Tell me what happened or call (719) 783-0303.

Common questions

U-4 & U-5 Violations: what clients ask

What is a Form U5?

When a broker leaves a firm, the firm files a Form U5 stating why. The information becomes part of the broker's public record on FINRA BrokerCheck and is seen by every future employer.

Can false information on a U5 be corrected?

Yes. A broker can bring a FINRA arbitration claim seeking to amend the U5 and, in some cases, damages for defamation. Expungement of customer complaints is a separate FINRA arbitration process.

Is there a deadline?

Yes, and it can be short. Defamation claims in particular often have brief limitation periods, so a broker should act quickly after an inaccurate U5 is filed.

Your move

A free evaluation has no downside other than your time.

Tell me what happened. I will tell you honestly whether you have a case worth pursuing — and every way I can be paid, including contingency: nothing unless you recover.

Free case evaluation (719) 783-0303