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

Register or login for access to this item and much more

All On Wall Street content is archived after seven days.

Community members receive:
  • All recent and archived articles
  • Conference offers and updates
  • A full menu of enewsletter options
  • Web seminars, white papers, ebooks

Don't have an account? Register for Free Unlimited Access