Securities Licensing Issues/From U-4 and U-5 Disclosure Issues



The Firm, headed by SEC attorney David R. Chase, represents stockbrokers, financial advisors and registered representatives in securities licensing and registration issues with state securities regulators, including the Florida Office of Financial Regulation Division of Securities (Florida OFR).

The Firm also represents registered representatives and stockbrokers that have Form U-4 and Form U-5 disclosure issues, including those that have been terminated and seek counsel to represent them in discussions with their prior securities firm prior to the issuance of the Form U-5.