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U4 & U5 Disclosures

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Jun 7, 2008 2:05 pm

When changing companies and there is a disclosure on your U4/U5, does the hiring company have access to more information then what is actually reported on the U4/U5?

  I am referring to customer complaint, internal review, termination, etc...
Jun 9, 2008 1:20 pm

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The reason I ask is: So I recruit someone that has a ding on their U4, I can see the disclosure as reported on the DRP and have the individual write an explanation of the event. The explanation and the DRP together is acceptable; however I have no way of making sure it is the truth and nothing but the truth? I can only send it up to my company? <?: prefix = o ns = "urn:schemas-microsoft-com:office:office" />


Will my company request information from the recruit’s previous employer, or is the letter I had to get my recruit to write the pertinent information?

Jun 9, 2008 7:56 pm


Thanks for all your answers and sorry my last message did not leave you much to respond too.   Here is how is shows on the CRD if you have any comments:  
Jun 10, 2008 5:15 pm

Thanks for your responses.  You are a great asset to this forum!

  I hope this gets approved because the person was a huge producer with the previous company...