Articles Posted in FINRA

A second national trade publication highlighted the IMcP-led FINRA victory regarding expungement of our client’s Form U5. Financial Planning published an article titled “Arbitrators blast JPMorgan for ‘pattern’ of post-resignation firings” to report on the FINRA arbitration award in which IMcP secured expungement of JPMorgan’s termination language on advisor Joshua Biering’s Form U5. In the award,…

Financial Advisor magazine profiled a recent FINRA arbitration award, in which IMcP represented advisor Joshua Biering against JPMorgan in a Form U5 dispute. The article highlights the panel’s decision to grant complete expungement of an improperly marked U5 filed by JPMorgan. In the award, the arbitrators directed that Mr. Biering’s U5 be amended to (a)…