Representing Terminated Registered Representatives

At Alonso & Wirth, we understand the career-altering consequences that can follow the termination of a registered representative. From Form U5 disclosures to FINRA inquiries, the aftermath of a separation from a broker-dealer demands swift, experienced legal counsel. We represent financial professionals nationwide, helping them protect their reputations, navigate regulatory scrutiny, and transition successfully to new opportunities.

Form U5 Disclosure & Negotiation

What a firm discloses on a Form U5 can have immediate and long-term implications for your career. We work with registered representatives at the moment of termination—or before, when possible—to negotiate accurate, fair, and non-misleading disclosures. Our team engages with firms to resolve disputes, reduce language severity, and challenge unjustified allegations.

Transition Counseling

Changing firms under contentious circumstances requires careful strategy. We provide registered representatives with confidential guidance on transition planning, including client communications, restrictive covenant issues, and regulatory compliance. Our goal is to minimize disruption, protect your book of business, and ensure your next move is on solid legal footing.

Responding to FINRA Rule 8210 Inquiries

Receiving a FINRA Rule 8210 request can be intimidating and high-stakes. Whether you’re facing an informal inquiry or formal investigation, our attorneys will prepare you for interviews, draft responses, and advocate on your behalf to protect your record and reduce potential disciplinary exposure.

Our Services Include:

  • Negotiating Form U5 language with broker-dealers
  • Advising on pre- and post-termination employment matters
  • Responding to FINRA Rule 8210 requests and investigations
  • Representing registered representatives in FINRA enforcement actions
  • Counseling on defamation, expungement, and employment claims

Why Choose Alonso & Wirth

With deep experience in securities industry disputes and regulatory defense, we provide trusted advocacy when your livelihood is on the line. At Alonso & Wirth, we fight to preserve your professional reputation and future.

Contact us for a confidential consultation and personalized legal strategy.