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Retaliation

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U-5 Defamation

U-5 defamation is a strategically tricky area. A broker who wants her record cleaned may challenge a derrogatory report, but damages are unlikely unless the broker has a large book of business. 

The National Association of Securities Dealers (NASD) has "members" which are entities that sell securities and may be banks or brokerages.  These members employ "licensees" who NASD licenses as stockbrokers and other types of securities salespeople.  When a member terminates the employment of a licensee, the member must complete a form U-5.  The form U-5 is subject to review by all future employers and claims contained in it may render the licensee unemployable.

Related Subjects: 
Employment Law
Retaliation
Defamation
U-5 Defamation

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Call us at 408.797.0000

Call us for a consultation at 408.797.0000. We offer expert services and proven experience with complex issues that others can overlook.

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