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Transferring firms with pending FINRA dispute

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Jul 11, 2009 1:35 am
Jul 11, 2009 2:32 pm

If your new firm is letting you come onboard with the dispute then why wouldn’t you jump?  Good God, don’t wait for your current firm to sh*tcan you and get a jump on keeping your accounts.  You need to make the first move.

Jul 11, 2009 9:13 pm

Jul 13, 2009 4:28 pm

You did over a million in production the last 2 years and you need payout money to pay your debt?  I wouldn’t let you manage my money. Period.

Jul 13, 2009 9:49 pm

On top of that, why the hell are you soliciting advice from us?  This is a matter for an attorney, who will be licking his chops.  Mainly, because you’ve spouted out on a public website about your case.  They’re going to bleed your ass in fees because of the headache you’ve caused.  So, it’s either A) pay through the nose to get this settled, or B) do it yourself and watch your career vanish before it began.

  Your choice, Chachi.
Jul 13, 2009 10:41 pm

Has the hiring firm already acknowledged the pending arb and have they asked you to address it in writing already? I’m trying to better understand the timing here. It’s one thing to have a meeting or two and a ‘verbal’, it’s another thing to have an offer ‘post’ background etc.  I can see a light at the end of the tunnel here if you don’t have your ducks in a row and that aint daylight.