other

U5 Expungement Attorney

FINRA may continue to expunge, without a court order, expungement directives contained in arbitration awards rendered in disputes between registered representatives and firms in which the arbitration panel states that expungement relief is being granted because of the defamatory nature of the information. Accordingly, FINRA will expunge this information from the sections of the Form U5 relating to reasons for terminations or internal reviews without requiring court confirmation of the order. If, however, the arbitration panel orders expungement of customer dispute information from any other section of the Form U5 or from the Form U4, the order is subject to the requirements of FINRA Rule 12805, FINRA Rule 13805, and FINRA Rule 2080 with respect to the additional expungement relief.

Austria

Algeria

Australia

Bouvet Island

Central African Republic

Chad

Cuba

France

French Polynesia

Guadeloupe

Guinea

Holy See

Honduras

Iran (Islamic Republic of)

Israel

Japan

Saint Helena, Ascension and Tristan da Cunha

Sudan

Taiwan

Uganda

Colombia

Denmark

Egypt

Fiji

Gambia

Guernsey

Heard Island and McDonald Islands

Isle of Man

Kenya

New Caledonia

Palestine, State of

Peru

Saint Barthélemy

Senegal

Solomon Islands

Yemen

American Samoa

Aruba

Belize

Armenia

Bangladesh

Belgium

Bosnia and Herzegovina

Lesotho

Morocco

Slovenia

Spain

Swaziland

Sweden

Tajikistan

Tonga

Antigua and Barbuda

Congo (Democratic Republic of the)

Costa Rica

Guatemala

Latvia

Namibia

Nepal

New Zealand

Nicaragua

Niue

Sao Tome and Principe

Sierra Leone

Svalbard and Jan Mayen

Togo

Viet Nam

Bahamas

Chile

Malta

Mauritius

Montenegro

Panama

Réunion

Saint Martin (French part)

Tanzania, United Republic of

Thailand

Vanuatu

Venezuela (Bolivarian Republic of)

Åland Islands

Barbados

Czech Republic

Equatorial Guinea

Ethiopia

Kiribati

Mauritania

Norfolk Island

Puerto Rico

Saint Pierre and Miquelon

San Marino

United States Minor Outlying Islands

Burundi

Virgin Islands (U.S.)

Burkina Faso

Eritrea

Greece

Lebanon

Macao

Micronesia (Federated States of)

Mozambique

Nauru

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