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Termination troubles: A negative comment on your U5 is hard to overcome, but FINRA will change the language in some cases.
- Article from:
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On Wall Street
- Article date:
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July 1, 2008
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Copyright informationCOPYRIGHT 2008 SourceMedia, Inc. This material is published under license from the publisher through the Gale Group, Farmington Hills, Michigan. All inquiries regarding rights should be directed to the Gale Group. (Hide copyright information)
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Q I was working for the brokerage subsidiary of a bank and was recently terminated. I had no problems on the brokerage side but I did, however, have an issue on the bank side. My U5 indicates that I was terminated by the bank for "...conduct unrelated to securities business. Changing account types to generate unearned incentive sales credit." I am now having a hard time finding another job. Do you think I will ever get another firm to take me in?
-A.B., via e-mail
A You will most likely have a problem getting a job with a major house. These days, the big firms can afford to be very picky and to look for reps with clean U5s. Even though the item isn't ...
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Angus Phillips;
445 words
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Knight Ridder/Tribune Business News;
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DENVER INVESTOR AWARDED $243,000 ARBITRATION PANEL SAYS COMPANY MISLED...
Rocky Mountain News (Denver, CO);
May 28, 1998 ;
Accola, John;
222 words
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STEVE McMORRAN, Associated Press Writer;
337 words
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IAAF Refer Slaney Case to Arbitration Panel
Xinhua English Newswire;
January 28, 1998 ;
147 words
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Aths: Ottey case to be heard by IAAF arbitration panel next week
AAP Sports News (Australia);
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123 words
......Australia) 06-10-2000 Aths: Ottey case to be heard by IAAF arbitration panel next week TURIN, Italy, June 9 AFP - The doping case against...the International Amateur Athletic Federation's (IAAF) arbitration panel from June 16-18 in Monaco, IAAF secretary general Istvan...
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Arizona Arbitration Panel Rules for BNCCORP and Its Senior Officers.
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556 words
......January 20, 2006, a three member arbitration panel ended a year of litigation by ruling...amp; BNC Insurance Services. The arbitration panel dismissed, outright, four counts...his termination. In addition, the arbitration panel also ruled that there was no credible...
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SJC sends tobacco-money dispute to arbitration panel State says it is owed...
The Boston Globe;
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Shelley Murphy;
456 words
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EX-HANIFEN EXECS WIN IN COURT ARBITRATION PANEL'S AWARD OF $8 MILLION IS...
Rocky Mountain News (Denver, CO);
August 4, 2001 ;
Accola, John;
521 words
......Accola News Staff Writer A federal judge has upheld an arbitration panel's $8 million award to a group of Denver investment bankers...February, when the National Association of Securities Dealers arbitration panel ruled in favor of the plaintiffs, the defendants returned...
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July 18, 2008 ;
Minderjeet Kaur;
305 words
...Minderjeet Kaur New Straits Times 07-18-2008 Arbitration panel to settle labour disputes quickly Byline: Minderjeet...Lifestyle Section: Main Section PETALING JAYA: An arbitration panel will be set up to allow workers and employers to...
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