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FINRA's BrokerCheck and Credit Card Judgement

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  • 04-02-2010, 07:37 PM
    U4Question
    FINRA's BrokerCheck and Credit Card Judgement
    I recently changed firms and had to fill out the u4 form. A few years ago (before working in the financial services industry) I had a credit card and disputed the fees being charged. That turned into a judgement against me which was settled immediately. This was disclosed to my prior firm but was never on Finra's BrokerCheck. This week I noticed my BrokerCheck page was updated with my new firm, and the settlement was added.

    Should this settlement be on there? It was a dispute and was settled the same week. Is there any way I can get this removed? I have no other blimishes and this is pretty embarrassing.

    Thank you for your help.
  • 04-03-2010, 09:51 PM
    Mr. Knowitall
    Re: FINRA's BrokerCheck and Credit Card Judgement
    The judgment is a public record, and from what you're telling us it appears that the report is accurate. I doubt that you can have it removed.
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