Are you worried about being sued for wrongful termination?

Are you worried about having to pay unemployment?  Are you unsure of how to handle a meeting where you are terminating an employee? Do you want to make sure that your firm won’t face legal trouble for firing an employee? Terminating an employee is a stressful situation, and it can be made worse by ineffective […]

Form U-5 & Expungements

U-5 Summary The Financial Industry Regulatory Authority (FINRA) establishes rules and regulations for broker-dealer member. This includes termination of employees. Within 30 days of terminating an employee, you are required to complete and file a Form U5. You are required to disclose the reason for termination. A completed U5 becomes part of the employees Central […]