Financial Advisor IQ: Article on Form U4 / U5 Expungement Features Kevin Galbraith  

Kevin was featured in a recent Financial Advisor IQ article about the factors financial advisors should consider before deciding if they want to pursue the path of expunging a negative mark on their Form U4 or U5. The article, by journalist Glenn Koch, traces the decision-making process that advisors face when making this important decision.  

• Kevin Galbraith, whose New York–based law firm bearing his name counts Form U5 expungement cases among its specialties, noted: “Litigation and arbitration are not for everyone, and they should only be undertaken if an advisor feels confident that he or she can be an active participant in the process, including providing documents and information to your lawyer and testifying under oath…. If the answer to both of those question is ‘yes,’ and your lawyer confirms your case has merit, then and only then is it time to start down the expungement path.”

We routinely represent financial advisors seeking to expunge inaccurate and harmful marks on their Forms U4 and U5. If you are a financial advisor who would like to discuss this possible path, please contact a securities attorney at The Galbraith Law Firm by calling 212.203.1249 or emailing inquiry@galbraithlawfirm.com for a free confidential consultation.