Jennifer B. asked
I was fired from Merrill Lynch and they made false claims on my U-5. I disputed it with FINRA and want to sue them for punitive damages. I lost my health benefits, my client base, and my job during this time. They fired me for using my cell phone camera in the Bank after hours, alleging I had a customer in there I was filming. I cooperated fully and showed them everything on my phone. They kept me on paid leave then fired me. I was hired by another firm, which issued a U-5 after 'customer deposits' allegations came up. I am now without a broker/dealer and have this on my record. What are my options for expungement, compensation, and clearing my name?
May 15th, 2023
Jon S. answered
You have two main issues to address: expungement of the U-5 and seeking compensation for damages. 1....
May 15th, 2023
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