Compliance Officer / and Producer

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Mar 19, 2009 2:27 am

Deleted by cris.

Mar 19, 2009 5:01 pm

This girl is going to complaint you out of a job.  You need to get the CEO involved in this or get your resume polished.

Mar 19, 2009 8:45 pm

Sounds like that's her goal.  Document everything.  Write notes about
everything.  Keep records about everything.  Get a lawyer now and keep
him in the loop about what is happening.



It's pretty clear the objective is to get you out - possibly even out of the industry.

Mar 20, 2009 2:19 am

Thanks fellows.

 
Right now I'm keeping everthing documented and sending it to my lawyer as it occurs.
 
I just wonder how FINRA will treat this should he send the letter.  I mean we are  not tax advisors. Both his dad and wife have standard death benefits and unless I missed some news it may be a bit difficult to have an IRA coded as JTWROS.
 
They'll probably nail me on being tardy.
 
Thanks again.
 
Mar 20, 2009 9:37 am

WOW!  Everyday I just feel better about the industry I am a part of!  Document, document, document!  What did you do to piss this lady off?

Mar 20, 2009 9:53 am

cris - Is anybody else having problems with this girl?



It is almost like she was hired to get you fired.



I gotta say, you're a better man than I am - I believe I would have leapt down her throat at this point.



Mar 20, 2009 9:00 pm

Thanks for the replies.


 
This may shed some light on the situation.  She was hired about three years ago as another broker's assisstant.  About four months after being hired she made some sort of complaint about this guy (not security related).  A month later she was moved to production and given a territory.  She failed miserably and in a years time was moved to a more lucrative territory, given about 150 accouts as well as an assistant three days a week.  Again she failed miserably so was promoted to compliance officer and given a salary as well as being allowed to keep the book that was given to her plus branch referrals.
 
Another rep expressed his concerns over her taking accounts after explaining to him that she was just trying to keep his U4 clean by moving the account to her management.  I thought he was paranoid at the time but now understand his fears  very clearly.
 
This same rep got a complaint earlier this week but does not know if it will be written.  He sold a couple an investment corporate bond @ PAR with 6.125 coupon about three years ago.  It was a financial and of course got  creamed.  It's a verbal complaint at this point but he said she called and told him not to worry she didn't think it would turn into a formal complaint but he "should be very careful with bonds becasue they can lose money just like stocks"----  This guy is an 18 year industry vet.  Shameful.
 
Thanks again guys.  Attorney advised I remove original post.  (too detailed)
 
 
 
Mar 20, 2009 10:56 pm
cris:
She was hired about three years ago as another broker's assisstant.  About four months after being hired she made some sort of complaint about this guy (not security related).  A month later she was moved to production and given a territory.  She failed miserably and in a years time was moved to a more lucrative territory, given about 150 accouts as well as an assistant three days a week.  Again she failed miserably so was promoted to compliance officer and given a salary as well as being allowed to keep the book that was given to her plus branch referrals.
 



Who is she sleeping with?