Updated Friday, July 11, 2014 as of 8:10 PM ET
Practice - Regulatory/Compliance
The Disclosure Dilemma
Sunday, January 1, 2012
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An arbitration claim was recently filed against my former brokerage firm by one of my institutional clients. The complaint involves practices of the firm and doesn't allege that I did anything wrong, but because I happened to be the rep on the account, my name is mentioned in the complaint. I've been told I have to disclose this on my U4 but here's the thing: I'm now an investment adviser representative with a registered investment advisory firm and I don't have a U4. Do I have to disclose this and, if so, how?

— B.P., Oklahoma

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