What should I do?

3 replies [Last post]
fujiteam's picture
Joined: 2012-01-06

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.

bluesman64's picture
Joined: 2012-01-09

return the call.

Aguilartx's picture
Joined: 2011-07-22

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". 

Wet_Blanket's picture
Joined: 2008-11-13

I agree, return the call.  This may affect you as a RIA, but you can't really say without talking to them.

Please or Register to post comments.

Industry Newsletters
Investment Category Sponsor Links
Planning Investment Category Sponsor Links
Wealth Planning Category Sponsor Links

Sponsored Introduction Continue on to (or wait seconds) ×