Archives: June 2019

WHAT TO DO AFTER BEING HANDED THE FORM U5

On behalf of Girard Bengali, APC on Monday, June 3, 2019. As Wall Street's standards continue to change and evolve, many financial advisers in Los Angeles and around the country are being terminated for relatively minor infractions. Once they receive a Form U5, they must come up with a long-term plan for getting back on their feet....