I was released from my bank in March of 2007 and I was never sent my U5 or CRD!! What can I do about this?
You are entitled to see a copy of your Form U5 per a written request to your former employer. They must file the Form within 30 days of your termination. Keep the letter professional and non-threatening -- it may be introduced against you at a hearing or interrogation. If you are desperate for that copy, you could also contact NASD at its 800 number or through its Ombudsman's Office but I would urge great caution before sticking your head in the lion's mouth.
Who is the most influential person in wealth management today? You decide. Meet the contenders and fill out your bracket.
By clicking below, I acknowledge and agree to Penton's Terms of Service
and to Penton's use of my contact information to communicate with me about Penton's or its third-party
partners' products, services, events and research opportunities. Penton's use of the information I
Sponsored Introduction Continue on to (or wait seconds) ×