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U4 Financial Disclosure

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Apr 2, 2010 2:50 am

About 3 months ago I left ML for MSSB. I was at ML for 4 years. In 2005 (before working in this industry) I had a dispute with a credit card company that turned into a judgement, which was settled immediately. When I started at ML I disclosed this, and it was disclosed each year on an audit and I’d have to submit an explaination. Now that I disclosed it to MSSB they reported it so it’s showing up on Finra’s Broker Check as a financial disclosure. This is very embarrassing. Should it be reported publicly, and is there a way I can have it removed?


Apr 2, 2010 2:53 am

One additional note to make this more clear, in all 4 years at ML the judgement never was put on my Broker Check page. I just noticed this week the change, where MSSB added it.

Apr 6, 2010 3:49 pm


Apr 7, 2010 12:39 pm

It will stay on for 7 years. Make sure your explanation give it the most positive light. I am sure (I hope you have) learned from your ways of the past.

I have seen it explained: I was successful in negotiating the elimination of $30,000 of credit card debt for $10,000.