*Ostroff, Fair and Company>>>Financial Services

What is the likely hood of a broker/dealer lying on a form u5 if i quit?

Although it is always likely that someone might lie, but I don't see any reason why they would.

The information on U5 is really basic. Name, address, when you started working for them and when your employment ended. It is basically telling NASD that your credential is no longer associated with the company.

Given that the information is easily verifiable by anyone, the form will most likely be filled out by HR rather than your direct report and there isn't any immediate benefit that I can see by lying, so I would say the chances are fairly slim.

Best wishes.

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