Posts tagged FINRA Rule 13504.
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2 minute read
By: Dena L. Narbaitz
Here is the scenario: your company, a FINRA Member Firm, terminates a broker for “violation of company policies” and reports this as the reason for termination on the broker’s Form U-5 (Uniform Termination Notice for Securities Industry Registration). The broker then sues your company in state court asserting several claims, including defamation for the language contained on his Form U-5. Your company thinks there is a good legal basis to have the broker’s claims dismissed as a matter of law before the case is tried. Should your company litigate the case ...
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