THE "QUESTIONABLE" ADVISOR
When a office manager witnesses or learns of FA behavior he considers to be questionable or inappropriate, he or she usually brings it to the attention of human resources, which then sets up a meeting between the FA, compliance and legal services, if necessary, says a legacy Wells Fargo office manager in the south. “The FA is not told that the manager brought this up, so fortunately, we are insulated from the situation.” “What happens from that point on is upper ...
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