Why was my U5 and CRD not sent?

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oneword's picture
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Joined: 2007-06-04

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?

Anonymous's picture
Anonymous

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.

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