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Tina
Tina, Lawyer
Category: Legal
Satisfied Customers: 8775
Experience:  JD, BBA Over 25 years legal and business experience.
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This is a securities law question. I was recently involved

Customer Question

This is a securities law question. I was recently involved in a dispute w/ a former partner in the brokerage industry. My understanding was I received a $50M 'bonus' from him for past work & an incentive to change firms w/ the team in the form of a personal check. He rolled my $120m production into his own to receive more upfront money & paid me from those funds. I left the new firm a little over three months later & when he received my resignation he asked for the funds. He stated that it was a deferred compensation loan & had a sr vp at the firm testify that he sat down w/ me at dinner & explained the terms of these funds to me. The only document produced to support his claim was a document his wife had signed in my name. The sr vp testified that this was an offer letter & it wasn't a big deal she had signed it. They also had an da testify I knew since we were informed on a conference call. I've been told by several people who are colleagues in the industry that I need to file a complaint regarding the form to finra & the above mentioned firm. I've also been told since I was receiving money with certain attachments from a sr broker & a sr regional vp was involved according to their testimony, the firm should have provided some sort of guidance since there was no written contract. My attorney advised not to file my complaints until the trial was complete. Now that it is I wanted advice on how to move forward since my attorney has no experience w/ securities law. Where would be a good place to start (aside my talking w/ an attorney)?
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.
Prior to law I was also NASD/FINRA licensed so I am very aware of the regulations and the laws. Am I to presume that you did not end up prevailing in court? Where exactly are you located? How long ago did this occur?
Customer: replied 1 year ago.
The court decision was to pay back half of the money, which I feel is fair. I actually offered that deal when this fiasco first started. I was told by my lawyer not to file complaints during the trial & after I paid him. Now that parts behind me. It occurred within the month in Columbia, SC.
Customer: replied 1 year ago.
I also meant 'sa' in in my initial inquiry. A sales assistant.
Expert:  Dimitry K., Esq. replied 1 year ago.
One moment while I review. My apologies on the delay.
Customer: replied 1 year ago.
i'd like to talk but i have my toddler on my lap. Can we arrange a call later?
Expert:  Dimitry K., Esq. replied 1 year ago.
Hi,
That sounds fine. However I do not use the phone as it may violate state bar limitations. But I can communicate via Skype if that is acceptable for you. We can discuss either later tonight or likely tomorrow. Please advise!
Customer: replied 1 year ago.
Does Skype work for the iPad? I'm technologically ignorant.
Customer: replied 1 year ago.
Please let me know when you're available. Thank you.
Expert:  Dimitry K., Esq. replied 1 year ago.
Hi,
Skype does work for the IPAD--you can download the program from the apple store (it is free). I am available and would be happy to asssist

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