Sweeney enjoys FINRA challenges

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Milwaukee’s Sean Sweeney, who hails from Arizona, enjoys the frontier feel of his Financial Industry Regulation Authority hearings.

The Halling & Cayo partner said he thrives on the challenges of FINRA’s mandatory arbitration process for investors suing their brokers. The practice allows extremely limited discovery, without interrogatories or depositions.

“You’re meeting the broker for the very first time at trial,” Sweeney said. “Cross-examining him, and you don’t have a clue what he’s going to say. It really makes it a fun challenge to put everything together, when everything’s such a mystery.”

Sweeney has proven he can think on his feet to his clients’ benefit in two fairly recent arbitrations. Last year, in Thom v. B.C. Ziegler and Trust of Howard Larson v. Wells Fargo Advisors, he secured two awards in excess of $200,000.

The FINRA victories are especially meaningful, he said, because, the clients are in desperate need of help.

“Our clients are usually retired, and have suffered a pretty serious loss,” Sweeney said. “Many times, it has severely impacted their ability to stay retired.”

New frontiers are a pattern for Sweeney, who started his own firm after graduating from Marquette University Law School in 2007. Two years later, he joined Halling & Cayo, where he made partner last spring.

If you could change one thing about yourself, what would it be?

Being able to put work away. I can get preoccupied with the job and maybe sometimes don’t enjoy the time off with my family as I should. I wish I could flip that switch a little better.

What famous person you would most like to have a drink with?

Mark Grace. He was first baseman for the Cubs when I was a kid, and then he won a World Series for the Diamondbacks when I was living in Arizona.

Which living person do you most admire?

My wife [Sarah Sweeney]. She’s a district attorney in Milwaukee. She does an incredible job of balancing a career with taking care of our son, me and the house at the same time.

What would you never wear?

A bowtie or ascot. Any kind of unique neckwear is not for me.

Which words or phrases do you most overuse?

I say ‘for sure’ a lot.

What can you spend hours doing that’s not law-related?

Any number of recreational activities. I coach Little League every year.