Q: If I go Pro Se in a securities arbitration case against my former employer, how should I prepare for the case?
I am in the Financial Services field and recently (voluntarily) resigned from my employer (FL). Shortly after I left, I was notified that my U 5 and C R D report (brokers check) was negatively marked by my previous employer. These comments are preventing me from gaining new employment with another firm. I am considering going to arbitration to have these comments expunged (defamation, libel,etc.) but I cannot afford an attorney. If I go Pro Se, what should I know and how should I best prepare for the case in order to accomplish my goals?<br/>
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<em>Content added on January 7th, 2011 at 9:42 AM</em>
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OK but how do I request all the documents from my ex-employer that I may need to prove them wrong (they are accusing me of trying to receive performance credit/compensation on transactions made by my clients,when I supposedly never spoke to them)?
Also, don't you think it would be easier and a lot less expensive to use defamation and libel as a reason for expungement vs hiring a private investigator or obtaining affidavits from my clients?
A: First read up on the rules you will be arbitrating with. Procedure is VERY important. Make sure your employer follows the proper path. Make sure you request any and all documents from any source that you may need to prove them wrong; having a clean license is more important than wining a defamation and/or libel suit. Also, after you research why they gave you black marks on your U5, try to get to witness statements (affidavits) from your prior clients that support your side of the case. Do not think for a minute that your former employer is going to play fair. MAKE SIMPLE ARGUMENTS supported by FACTS to show why you are right and they are wrong.
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