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Dimitry K., Esq.
Dimitry K., Esq., Attorney
Category: Legal
Satisfied Customers: 38773
Experience:  Multiple jurisdictions, specialize in business/contract disputes, estate creation and administration.
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HI, It appears I needed to request a dismissal of my claim

Resolved Question:

HI,

It appears I needed to request a dismissal of my claim with FINRA against advisor because evidence I found they produced two weeks before the case in fact defeats my claim.

Even though I attribute it to poor due diligence by my attorney, and she knows this and why.

My problem now is She said She will talk to respondents lawyer, see if they will drop legal fees. He said they think they will.

FINRA also imposes sanctions for abusing process, which I did not, My lawyer wrote NO Motion yet. and expects they will give me a contract of dismissal and provide that I cannot sue them over this case ever.

I am worried about a civil suit from the other party as this evidence was made early on a year ago and I had not seen it until yesterday, 2 weeks before by hearing.

I dont feel comfortable as if I was to continue onto hearing It would look like I was perjuring myself, even though thats untrue.
I wrote all the attorney yesterday
"Dismissal Request, My Lawyer will explain." that was it.

How do I protect myself in this contract They will prepare?
stating I cannot sue them... what in only FINRA, civil? what-


I know that FINRA cases are signed off by court Judges, I thought Just as the award
or in this case - THE AWARD.

This was for a 3million claim that Advisor lost me all the money in a single stock without advising me to diversify

But He had his ex-partner not called in the claim sign notes He told Me and I said no and on dates,
meanwhile I was claiming one of those dates proximities as the time I told Him to sell 22k Shares 1/4 of my holding.

that sale took place but conflicts with time I stated was the time I told hime to diversify.
all statements show that date as well.
I had no fight left. even though its a true claim.


How do I protect myself going forward?
Submitted: 1 year ago.
Category: Legal
Expert:  Dimitry K., Esq. replied 1 year ago.

Thank you for your question. Please permit me to assist you with your concerns. I believe that I have assisted you in the past. Hope you are doing well and can assist you again.

To ensure that I do not miss anything, I will go line by line with my response:

You posted:
It appears I needed to request a dismissal of my claim with FINRA against advisor because evidence I found they produced two weeks before the case in fact defeats my claim.

Even though I attribute it to poor due diligence by my attorney, and she knows this and why.

My problem now is She said She will talk to respondents lawyer, see if they will drop legal fees. He said they think they will.

FINRA also imposes sanctions for abusing process, which I did not, My lawyer wrote NO Motion yet. and expects they will give me a contract of dismissal and provide that I cannot sue them over this case ever.
I tend to agree with your attorney on this point. If there is no express intent or evidence to abuse, FINRA generally does not pursue that point as it is fairly subjective and hard to prove without direct evidence.

I am worried about a civil suit from the other party as this evidence was made early on a year ago and I had not seen it until yesterday, 2 weeks before by hearing.

I dont feel comfortable as if I was to continue onto hearing It would look like I was perjuring myself, even though thats untrue.
I wrote all the attorney yesterday
"Dismissal Request, My Lawyer will explain." that was it.

How do I protect myself in this contract They will prepare?
stating I cannot sue them... what in only FINRA, civil? what-
That depends on terms of the agreement. A good agreement will have language stating that by signing they agree to to no longer pursue you for any action stemming from this agreement other than for breach of the agreement (should it take place), and expressly list civil, criminal, and administrative (FINRA) claims as something they agree to forgo.


I know that FINRA cases are signed off by court Judges, I thought Just as the award
or in this case - THE AWARD.

This was for a 3million claim that Advisor lost me all the money in a single stock without advising me to diversify

But He had his ex-partner not called in the claim sign notes He told Me and I said no and on dates,
meanwhile I was claiming one of those dates proximities as the time I told Him to sell 22k Shares 1/4 of my holding.

that sale took place but conflicts with time I stated was the time I told hime to diversify.
all statements show that date as well.
I had no fight left. even though its a true claim.


How do I protect myself going forward?
The agreement that your attorney suggested is truly your best option. Make sure your attorney has a hand in drafting it, and likewise adds the language and the clauses under which they would not be able to pursue you should the parties agree to sign off.

Good luck.

Dimitry K., Esq., Attorney
Category: Legal
Satisfied Customers: 38773
Experience: Multiple jurisdictions, specialize in business/contract disputes, estate creation and administration.
Dimitry K., Esq. and 6 other Legal Specialists are ready to help you
Customer: replied 1 year ago.

Ok LOL I cannot differentiate your answers can you just combine yours in one reply thanks!!

Expert:  Dimitry K., Esq. replied 1 year ago.

Sheryl,

I am sorry about that...Let me cut and paste the relevant portions and bld my answers. Sorry about that!


FINRA also imposes sanctions for abusing process, which I did not, My lawyer wrote NO Motion yet. and expects they will give me a contract of dismissal and provide that I cannot sue them over this case ever.
I tend to agree with your attorney on this point. If there is no express intent or evidence to abuse, FINRA generally does not pursue that point as it is fairly subjective and hard to prove without direct evidence.

How do I protect myself in this contract They will prepare?
stating I cannot sue them... what in only FINRA, civil? what-
That depends on terms of the agreement. A good agreement will have language stating that by signing they agree to to no longer pursue you for any action stemming from this agreement other than for breach of the agreement (should it take place), and expressly list civil, criminal, and administrative (FINRA) claims as something they agree to forgo.

How do I protect myself going forward?
The agreement that your attorney suggested is truly your best option. Make sure your attorney has a hand in drafting it, and likewise adds the language and the clauses under which they would not be able to pursue you should the parties agree to sign off.

Hope that helps!

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Dimitry K., Esq.
Dimitry K., Esq.
Attorney at Law
16644 Satisfied Customers
Multiple jurisdictions, specialize in business/contract disputes, estate creation and administration.