Form U-5 Amendment and Expungement

Ziegler, Ziegler & Associates LLP is committed to protecting the good reputations of our clients. For securities industry professionals, this means ensuring a clean Form U-5 free of any damaging defamatory or inaccurate information.

Upon the termination of a securities professional's employment at a brokerage or investment firm for any reason, his or her employer completes a Form U-5, the Uniform Termination Notice for Securities Industry Registration. This information is then included in a central database by FINRA, where it may be accessed by potential employers and/or customers. A negative U-5 review can follow a securities professional for his or her entire career, resulting in a loss of clients and an inability to obtain new employment.

Proactive Approach

Ziegler, Ziegler & Associates fights to have any inaccurate, injurious information stricken from the U-5s of our clients. Negative U-5 remarks can be devastating to the career of a securities professional, and our attorneys are dedicated to making sure that our clients are free to pursue their careers in the securities industry unencumbered by the reputational blemish of any such inaccurate information.

Beyond expunging false information from our clients' U-5 records, in the unfortunate circumstance in which such remarks are found to have been made in bad faith by a former employer, our attorneys will take action and seek damages from the libeling party on behalf of our client.

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