1 reply [Last post]
sonofarep's picture
Joined: 2013-01-19

Does anyone know if you can get something removed or at the least comment on something that will be uploaded to CRD. A former client with my former firm wrote a letter complaining about an annuity 8 years after he purchased it and after he surrendered it. My former firm did not report it to Finra because there were no damages and the client asked for nothing. They had to upload it due to a Finra audit. I have had no disclosures in close to 30 years in the biz. It does seem almost immoral that a client can make claims about their understanding of a contract 8 years later, surrender the account, and write a letter without any burden of proof and yet that sits on my record for good.

not now's picture
Joined: 2015-04-04

Does anyone know what effect being terminated for production is on joining another firm? Thanks

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