Recovering Compensation in the Financial Industry
Elizabeth Bacon obtained a substantial favorable recovery for our client, a registered financial advisor, from her former financial institution employer following a Financial Industry Regulation Authority (FINRA) arbitration. After our client left her employment, her former employer included false and misleading statements on its Uniform Termination Notice for Securities Industry Registration form (the “U5”), that negatively impacted her continued and future employment in the financial industry. Elizabeth not only obtained corrected disclosures and recovered substantial compensation for our client’s loss, but also recovered our client’s attorney’s fees and costs. Our client can again work in the financial industry with an unblemished record.