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I was Discharged from Merrill Lynch U5 Question

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Feb 8, 2020 1:36 am

To all my securities attorneys: I was discharged from a large bank for cold emailing, and using language that was not pre approved by compliance. The disclosure on my u5 which has check marked yes next to 7F1 will state: Allegations about the accuracy and content of external communications that were not approved by the firm. No customer complaints.

Do I have a legal case to get this expunged? I simply emailed people who were not clients. No one responded and there was zero monetary damage.

Has anyone ever had this happen to them? A discharge over something minor. Do you think I should switch careers or try to join a smaller firm?

Will there be a finra 8210 inquiry ?

A BB got back to me and said we cant even look at you. But that was 1 out of 4.

Feb 10, 2020 12:00 am

Wow. Dang that sucks. Whats a “BB” that you said got back to you?

Feb 12, 2020 7:33 pm

Bulge bracket. And it’s not a bulge bracket but a smaller family office set up

Aug 18, 2022 2:18 pm

Wealthrookie can you say what ended up happening? was there a finra inquiry? did you eventually find employment?