U-5 EXPUNGEMENT ATTORNEYS
We protect the careers of securities industry professionals from false, defamatory, unfounded, or inaccurate statements filed
on their U-5’s. Employers are required to file a U-5 update upon termination, for any reason, of a securities industry
professional. If you are interested in exploring U-5 record expungement, contact us today. We can be reached at (800) 719-
4889 or by e-mail.
The Uniform Termination Notice for Security Industries Registration, Form U-5, (not to be confused with the Uniform Application
for Securities Industry Registration or Transfer, Form U4) lists all registrations, securities licenses, amendments, and customer
complaints by individual investors pertaining to an individual securities industry professional. Whereas the U4 is filed in order
to establish that an individual is a registered securities industry professional, the U-5 is updated with pertinent information
only upon termination, voluntary or otherwise from a given position.
On occasion, when a U-5 record is updated following the voluntary resignation or dismissal with cause of a securities industry
professional, the employer from which that person is separating may enter negative information. Negative statements may
include accusations of misconduct or derogatory generalizations as to the cause of the resignation or dismissal.
Arbitration Filings to Expunge False or Libelous Contents of the U-5
Once a U-5 is updated, its contents cannot be altered or expunged except through an action such as an arbitration
proceeding. We can assist individuals who have cause to petition for amendment or expungement of false or libelous
statements on the U-5 notices filed by their ex-employers and help with the pursuit of monetary damages for both
defamation and attorneys’ fees.
Brokers, traders, bankers, research analysts, and other industry related professionals are invited to contact us at (800) 719-
4889 or by e-mail for a consultation regarding a proposed U-5 record expungement filing. We are prepared to explain
policies, procedures, and potential results as they apply to a given professional’s particular circumstances.
We protect the careers of securities industry professionals from false, defamatory, unfounded, or inaccurate statements filed
on their U-5’s. Employers are required to file a U-5 update upon termination, for any reason, of a securities industry
professional. If you are interested in exploring U-5 record expungement, contact us today. We can be reached at (800) 719-
4889 or by e-mail.
The Uniform Termination Notice for Security Industries Registration, Form U-5, (not to be confused with the Uniform Application
for Securities Industry Registration or Transfer, Form U4) lists all registrations, securities licenses, amendments, and customer
complaints by individual investors pertaining to an individual securities industry professional. Whereas the U4 is filed in order
to establish that an individual is a registered securities industry professional, the U-5 is updated with pertinent information
only upon termination, voluntary or otherwise from a given position.
On occasion, when a U-5 record is updated following the voluntary resignation or dismissal with cause of a securities industry
professional, the employer from which that person is separating may enter negative information. Negative statements may
include accusations of misconduct or derogatory generalizations as to the cause of the resignation or dismissal.
Arbitration Filings to Expunge False or Libelous Contents of the U-5
Once a U-5 is updated, its contents cannot be altered or expunged except through an action such as an arbitration
proceeding. We can assist individuals who have cause to petition for amendment or expungement of false or libelous
statements on the U-5 notices filed by their ex-employers and help with the pursuit of monetary damages for both
defamation and attorneys’ fees.
Brokers, traders, bankers, research analysts, and other industry related professionals are invited to contact us at (800) 719-
4889 or by e-mail for a consultation regarding a proposed U-5 record expungement filing. We are prepared to explain
policies, procedures, and potential results as they apply to a given professional’s particular circumstances.
Advertising. In accordance with rules established by the Supreme Judicial Court of Massachusetts. This web site must be labeled
"advertising." It is designed to provide general information for clients and friends of the firm and should not be construed as legal advice, or
legal opinion on any specific facts or circumstances. This web site is designed for general information only. Unless and until you enter into a
formal agreement with Attorney Mwangi, he is not your attorney and you do not have an attorney-client relationship with him. All Rights
Reserved. We also offer a service to help you change your name in Massachusetts.
"advertising." It is designed to provide general information for clients and friends of the firm and should not be construed as legal advice, or
legal opinion on any specific facts or circumstances. This web site is designed for general information only. Unless and until you enter into a
formal agreement with Attorney Mwangi, he is not your attorney and you do not have an attorney-client relationship with him. All Rights
Reserved. We also offer a service to help you change your name in Massachusetts.
| Mwangi Law Office |
 |  |  |  |  |  |