Discharges U4/U5
Jun 13, 2012 8:57 pm
A friend of mine was discharged from a wirehouse years ago. The firm listed "failure to meet production numbers" on his U5. No complaints or arbitration proceedings are on his records. Can a new securities industry employer/prospective employer see his discharge and reason for discharge? At what point in the hiring process do these records get examined? Any input is appreciated.
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