Why Do They Do It – Are They Just Dicks?

September 22, 2022

u5 manager checklist |Securities Practice|

Every U5 case seems to start with a manager or supervisor taking an unhealthy interest in their reps, whether they want to steal your book and give it to a buddy of theirs or they don’t like you personally for some reason. Haters just gotta hate, yo.

What’s really disturbing is that they often think they can just put whatever they like on your U5 and get away with it. Some of these sociopaths might even pretend to like you while they plan your career demise with some defamatory crap on your U5!

There are no friends in this business. One thing I often hear from brokers about to leave their firm is, “I’m pretty good friends with my manager, though.” Sure, you are. Ever watch Cheaters? Seriously, watch that freakin’ show. You’ll learn a lot about life.

Or, “I’ll just play it by ear for now. If something happens, I’ll call ya.” Don’t. You screwed up already by not lawyering up on time. You could have possibly prevented a ding on your U5, but you were too cheap. You’ll probably be as lame as a client as you are as a rep. Sorry. Next!

“I got dirt on these people. I’ll use it to put the fear of God in them.” If that’s true, what are you doing on my phone? Trust me. They aren’t afraid of you.

“Well, maybe I could do something else for a living. I don’t need this.” Yes, you do! You’re in this business because you can’t possibly do anything else that would pay this well. What are you, some kinda weenie? Loser talk!

If you understand what’s at stake, let go of the magical, wishful thinking and get ahead of your dick manager. Call the Law Offices of Christopher H. Tovar, PLLC. Like, now. (832) 370-3908.

 

 

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Securities Practice Group

The Law Offices of Christopher H. Tovar, PLLC
3990 Chilson Road
Howell, MI 48843
(832) 370-3908

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The Law Offices of Christopher H. Tovar, PLLC are headquartered in Southeast Michigan. Christopher H. Tovar is licensed in Michigan, Texas, Florida, New York, and Illinois and operates nationwide.*


* Michigan, Florida, Illinois, California, and New Jersey require bar membership to arbitrate FINRA cases in their jurisdictions. The Law Offices of Christopher H. Tovar, PLLC maintains relationships with attorneys in all 50 states and can arbitrate your case on a pro hac basis.