Q: If I go Pro Se in a securities arbitration case against my former employer, how do I request all of there documents?
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 arbitration. 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, what reasons/facts should I try to use to have the best chance of winning the case?
A: First of all, they have to provide you with the documents they say support their case. As yo read through the charges, you need to think "what documents do they have that will support my side of the story." You must also provide them with any documents you plan on introducing during the arbitration hearing. Any type of notes that you may have that show you had contact with your clients, or authorization forms from them can be used.
Justia Ask a Lawyer is a forum for consumers to get answers to basic legal questions. Any information sent through Justia Ask a Lawyer is not secure and is done so on a non-confidential basis only.
The use of this website to ask questions or receive answers does not create an attorney–client relationship between you and Justia, or between you and any attorney who receives your information or responds to your questions, nor is it intended to create such a relationship. Additionally, no responses on this forum constitute legal advice, which must be tailored to the specific circumstances of each case. You should not act upon information provided in Justia Ask a Lawyer without seeking professional counsel from an attorney admitted or authorized to practice in your jurisdiction. Justia assumes no responsibility to any person who relies on information contained on or received through this site and disclaims all liability in respect to such information.
Justia cannot guarantee that the information on this website (including any legal information provided by an attorney through this service) is accurate, complete, or up-to-date. While we intend to make every attempt to keep the information on this site current, the owners of and contributors to this site make no claims, promises or guarantees about the accuracy, completeness or adequacy of the information contained in or linked to from this site.
