Aug. 31, 2022
August 31, 2022 I have been in the industry for almost 40 years. During that time I have had 2 complaints registered with FINRA and both of them are unwarranted. The first one was not even securities related but was settled by my broker-dealer (likely due to the small amount) without my knowledge, until after the fact. The 2nd one was quickly dismissed as the client didn't even return any calls to my broker-dealers investigatory department. As a manager and registered principle I completely understand the necessity of oversite within our industry but there should be some form of redemption for insignificant complaints with no merit. I recently lost a potential client who drew negative conclusions from the complaints. That is not the big deal, but a tarnished to reputation certainly is.