Your U4 is used to populate your publically available information on the SEC website. When information on your U4 is inaccurate due to a disclosure made by a former employer, you will need an experienced broker defense attorney on your side to help protect your best interests.
The broker defense attorneys at Colling Gilbert Wright & Carter assist representatives of brokerage firms dealing with U4 issues or facing legal action over issues such as promissory note recovery. If you are facing legal issues with a firm for whom you no longer work, we would be happy to meet with you free of charge to discuss your case, your rights, and the best course of action.
Defending Individuals, Not Firms
The broker defense attorneys at our office defend individual brokers who have suffered damages due to the actions of a previous employer. We do not offer criminal defense for brokerage firms or individual brokers who have defrauded clients or previous employers.
Our focus is getting justice for victims, not defending those perpetuating injustice. We have a proven record of securing rightful compensation for victims of securities fraud and continue to fight tirelessly for every client we take.
Please contact our experienced securities fraud attorneys today to schedule a free consultation and learn how we are prepared to fight for you.