I resigned from previous firm 3 months ago and became RIA.
Two days ago I received a voicemail from compliance at previous firm saying that they wanted to discuss a complaint that a former client of mine had made.
I did not return the call.
Today I got another voicemail from the same person with this message. We want to discuss a complaint that a client of mine had made while I was still at the firm. Call me back as this could possibly affect your U-5.
I never had one client complaint while 12 years at the firm.
What should I do?
Thanks very much in advance.
You definately need to return the call. Having a complaint on your record is not as bad as it sounds...I have seen good reps with mult "complaints".
I agree, return the call. This may affect you as a RIA, but you can't really say without talking to them.