I won my case!

Discussion in 'The Watercooler' started by TerryJ2, May 16, 2011.

  1. TerryJ2

    TerryJ2 Well-Known Member

    I won the FINRA case!
    husband said he knew I would, it was just a matter of how much $.
    Very little, as it turns out.
    But my point was more to put a permanent mark on the broker's record, which it does.
    Unfortunately, FINRA closed down the main brokerage last yr, so the Head Honcho declared bankruptcy and dropped out for the time being. He is on Permanent Hold.
    The middle broker, as I call him, negotiatied a settlement with-me on behalf of P. I should get a check in a few wks.
    The low guy on the totem pole, the new guy hired out of college who actually filled out the paperwork, is the one I went head-to-head with. I almost settled out of court with-him, but when I showed an atty friend the agreement, he said it was too binding, and reminded me that I'd only seen a 2-yr-old tax statement, not a recent statement, and never saw the income balance sheet.
    So I told them I needed those things and they balked (he and his atty). My atty/friend sent them a ltr demanding $18,000 (or maybe it was $24,000). Doesn't matter. He didn't consult me and I knew they wouldn't pay that much. I was thinking more like $8,000. Anyway, the broker and his atty got in a huff and went ahead to the FINRA hearing.
    Except that the broker fired his atty the night b4 and decided to represent himself.
    Big mistake.
    Because I was better prepared, didn't concoct silly arguments like he did, and in short, I won. :)
    I haven't told P yet. She wanted to go to the hearing but she was in a great deal of pain that week, and she is so forgetful, and so incontinent and always running to the bathroom, it would have been ridiculous to have her there. It was 8 hrs of intensely focused conversation, thinking, and paperwork review.
    I mean, I can sit anywhere for 8 hrs, but I'll zone in and out. In something like this, you have to be "on" the entire time.
    I was exhausted when I got home.
    I sat at the computer and carbed out on cookies, chocolate and wine. Yeah, great for a migraine, eh?
    So, hopefully, this broker's clients will look him up online b4 they choose him for their investments in the future, now that he's working somewhere else. I wonder if this will affect his current position?
  2. DDD

    DDD Well-Known Member

    I've been watching for your results post....I felt confident that you would prevail. Yeah! DDD
  3. susiestar

    susiestar Roll With It

    Good Job!!!! All your hard work paid off bigtime!!!!!!! I am glad the guy will have this mark on his record now. If it impacts his current life depends on if his employer checks those things periodically or if they are only checked before hiring. That depends on the company and sometimes on the promotions you are in line for and/or if your coworkers cannot stand you. Coworkers who cannot stand you, esp in a big financial company or a small but very competitive one tend to be the ones to find info like this and use it against you. So angering coworkers or having the "I am the best and you are garbage" attitude that many in this field have can really bite you if you have something like this that you want to hide. Chances are that if he didn't let his boss and the company know about this before it ahppened, if they find out now or in the future he will be fired. For not telling them as much as for not winning the case.

    These cases are NOT easy to win, not at ALL so I am super proud of you!!! Winning a case like this is HUGE and is AWESOME!!! Many people never even bother to file the complaint because it is so very complicated, finicky and difficult. You not only filed, you persevered and you WON!!! That is super!!!

    I am glad you did not take P. It is no place for her to be, and she clearly is NOT up to handling things. I hope she doesn't freak out when seh learns that you didn't take her.
  4. TerryJ2

    TerryJ2 Well-Known Member

    I know, I know, on all counts, lol.
    No good deed goes unpunished.
  5. hearts and roses

    hearts and roses Mind Reader

    Yeah! Good for you! Congratulations - doesn't it feel great?
  6. DammitJanet

    DammitJanet Well-Known Member Staff Member

    Way To Go! Now doesnt this deserve a short blurb in the local paper? That way this idiots name would be mentioned for all to see...lol.
  7. DaisyFace

    DaisyFace Love me...Love me not


    Good for you!!!
  8. Shari

    Shari IsItFridayYet?

    Good job!
  9. klmno

    klmno Active Member

    You go girl! Congratulations!!
  10. Steely

    Steely Active Member

    YAY!!!! That is amazing in this day and age!!! I have one pending with the EEOC - keep your fingers crossed for that one too:)
  11. KTMom91

    KTMom91 Well-Known Member

    Congrats, Terry!
  12. TerryJ2

    TerryJ2 Well-Known Member

    Thank you!

    Yes, Janet, there will be a tiny article. Don't know when, exactly. I guess that's the point where I'll have to tell P. Sigh.
  13. ML

    ML Guest

  14. Hound dog

    Hound dog Nana's are Beautiful


    Way To Go Terry!! Woot! :bravo:
  15. TerryJ2

    TerryJ2 Well-Known Member

    Thanks all!

    Steely, keep us updated on the EEOC case.
  16. Lothlorien

    Lothlorien Active Member Staff Member

    Congrats! Did you get rid of the sitter in your Aunts place? If not, then I guess that's the next thing to tackle and hopefully the momentum from this will spill over. Go warrior woman!
  17. shellyd67

    shellyd67 Active Member

    CONGRATS !!:congratualtions::bravo:
  18. TerryJ2

    TerryJ2 Well-Known Member

    Thank you!

    No, Loth, she's still there. I think the electricity is turned off, though. I would think the fridge would smell. And she woudn't be able to use her computer ...
  19. Star*

    Star* call 911........call 911

    No bad deviant goes unpunished ------when the power of the Board gets behind you.

    Congratulations T - Carb away!
  20. Jena

    Jena New Member

    Congratulations!!! :)