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@finralaw
7 Questions with Attorney Christopher H. Tovar Who are you? I am a lawyer who handles employment cases in the securities industry. Who do you represent? Stockbrokers, also known as FINRA associated persons. What led you to this work? I started in the securities industry as a broker, and got to see how investment […]
What Is The Process For Expunging My U5? Really, the first step, the second you’re terminated, is to call a lawyer. Better yet, as you feel the water get warmer (insert boiling frog joke here) you should talk over your options for an exit strategy with a lawyer. Whatever your sense of timing, you want […]
There’s No Laughing in Brokerage Being funny at work is a delicate balance of being just funny enough to entertain your coworkers but not so funny that you get sent to HR. These days, funny is OUT! Most of the FINRA broker-dealers you would work for these days have a big stick up their asses […]
Taking a while to get your U5 expunged? Brokers who worked for this bucket shop who got a ding on their U5 on their way out have been getting their U5s expunged some TWENTY YEARS after Continental was expelled in 2024. Nobody from this crappy firm ever shows up to defend it from defamation claims; […]
Had a potential client call me the other day about his U5 situation, and learned that all you have to do is Google “U5” and you find my site. Top of the rankings. Really, it’s because I made the site so content-rich, but it is nice to hear that I’m now “The U5 Guy.” That […]
These days, broker-dealers and RIAs are looking for any excuse not to hire you. That is, if you have any negative information on your U5. Any at all. Why not? There’s plenty of people who want that job you’re after, and it’s a buyer’s market. So, if you want to work in this business, you […]
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 […]
A few weeks ago, one of my U5 expungement clients in Michigan got a call from a law firm based in Colorado asking if he’d like to have them do his case. A salesperson with a lilting flight attendant voice called his assistant looking for him. Turns out this caller was not a lawyer; she […]
Every so often your firm will have you fill out an OBA questionnaire. Whatever you do, before filling it out, talk it over with a lawyer! NEVER rely on management to get it right, especially if you have a good-sized book of business. They don’t know what they’re doing half the time. And, they’d love […]
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 […]
Short answer: No. In many states, the defamatory statements your firm puts on your U5 may be defamatory per se, and you may have a better shot at getting damages in FINRA arbitration when you seek expungement. (See my previous blog.) But, you must bring a claim within a year of the date your U5 […]
Generally, FINRA allows you upwards of 6 years to file a claim in arbitration to expunge your U5. This is true of both removing customer complaints that should not be on your record and in removing false and defamatory information placed on your U5 by your last broker-dealer. As you may know from previous blogs, […]
I keep seeing these firms with some twenty lawyers involved in helping brokers clean up their U5 records. You only need one good lawyer to get this done right. You don’t need to have a bunch of folks standing around some breakroom gabbing about your case and billing you more hours for a job one […]
Have you just left a broker-dealer you couldn’t stand anymore? Did some dick at the firm just put a bunch of false and defamatory information – or information that puts you and your practice in a false light – on your U5? Are there customer complaints on your U5 that shouldn’t be there? If […]
We can help you litigation-proof your business and protect your reputation by keeping you in compliance...
https://securitiespracticegroup.com/sec-industry-faqs/?utm_source=dlvr.it&utm_medium=tumblr
Succession may be the most important part of running your firm. It takes solid legal advice to protect your interests going forward.
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It's very important to have an attorney with a background in the securities business review your contracts with outside vendors, money managers, and marketers.
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