As my Scottish grandmother would say, “Good luck with that!” I’ve been at this for 20 years. I don’t think I’ve ever seen a broker get their U5 expunged in FINRA arbitration without representation.
I’ve seen a broker beat a firm out of paying a promissory note or some other financial obligation on occasion, even one instance in which a broker got “attorney’s fees” though he didn’t even have a lawyer. But that was a rare case. The folks on the other side of the table in that one must have really alienated the panel. Or, they probably just sucked, in my humble opinion. Rarely does this kind of thing ever happen.
Why? Because most lawyers know what they’re doing. They know how to defend what their client put on your U5 from a legal standpoint. They know how to pick an arbitration panel. They know discovery, and they know what will make you look like an undeserving claimant. They will bury you.
Sorry to harsh your mellow, but that’s reality. The question is which lawyer can best help you get your U5 expunged, and at a reasonable expense. Call the Law Offices of Christopher H. Tovar, PLLC for a free consultation. Even if you don’t go with me, don’t go it alone. Your career is riding on this.
