What should I do?

3 replies [Last post]
fujiteam's picture
Offline
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
Offline
Joined: 2012-01-09

return the call.

Aguilartx's picture
Offline
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
Offline
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
Careers Category Sponsor Links

Sponsored Introduction Continue on to (or wait seconds) ×