8210 letter, how bad is this?

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Aug 2, 2017 10:28 am

Okay so this is my situation.

I was working for a bank as a licensed banker held my 6 and 63 with them, we did not write any business only referred to our financial consultant. My duties also included the normal duties of a non licensed banker like opening checking accounts. I was fired for signing a customer's name to account summary form on the bank side. It's a non legal document that states they sat with a banker. This form is filed in our copy room and and looked at one a month by the branch manager to make sure we're doing it. I did have the meeting with the customer but forgot the signature...I know it was a very stupid thing to do. A coworker that I didn't see eye to eye with informed hr and I was let go. This was entered on my u5 as signed customer's name to internal bank form not related to the investment firm. I understand i'll never work in securities again with that on there and i'm okay with that. I'm currently freaking out because i just got a 8210 letter in the mail stating that they are looking into this to decide if I violated any federal securities laws. I sent them a statement of what happened and explained what the form was for and that is had nothing to do with the investment firm I also sent them a copy of the firm showing that it says it's a non legal form.

my real question is how bad is this? the bank did not press any charges but can FINRA press charges?

Aug 7, 2017 4:41 am


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