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U-4, U-5 and Defamation Issues

Defamation can ruin a career. A defamation claim can arise when you leave a firm with a book of business and learn that the old firm is telling untruths to your clients in an attempt to retain the business. You may also learn that personnel at your firm have made disparaging remarks to prospective employers. Or you may learn that your old firm reported falsely on your U-5 the reasons and circumstances as to why you left.

These issues need to be dealt with swiftly. We have helped industry professionals with disputes over employment, compensation, promissory notes and defamation.


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