F@CK! Being investigated

[get_nick]

So when I got fired from Fidelity for the application error, I thought that would be the end of it. Well, it's not. when you let someone go, i guess you have to make a file as to why. well, that file gets reported to FINRA. Financial Industry Regulating Authority. They are kind of like union for stockbrokers.

So i got a certified letter saying i'm being investigated for "Unsatisfactory background information. Employee failed to provide accurate information on employment application. Non-sales practice related.

well, this is a result of an accidental error on my application. Now i have to submit a defense to FINRA on what happened and why it happened. I could possibly lose my licenses, fired from my job, and never be allowed to work in the industry again.

not a good day.

 

[Turbo&Auto]

Hopefully your fight club works well tonight GL man!

 

[drbelanger73]

If you have a clean record I wouldn't worry about it. People make mistakes. If you are covering up that you are a felon or something, thats different.

 

[TurboMirage]

told you to take up underwater basket weaving

 

[nootrac22]

that sucks.

 

[|Chaz|]

Well that sucks. Good luck getting it straightened out. Hopefully it doesn't have lasting repercussions.

 

[get_nick]

Hopefully your fight club works well tonight GL man!

my stress release isn't until saturday.

If you have a clean record I wouldn't worry about it. People make mistakes. If you are covering up that you are a felon or something, thats different.

i had a misdemeanor on my record, and when i applied for the job it said, "have you been incarcerated or convicted of a misdemeanor not listed previously in this application".

I thought, "well, i've never been to jail so i'll check no". well, i was wrong. fuck

 

[drbelanger73]

Wow thats lame...

Misdemeanor OOOOO you big brute.

Thats why its a misdemeanor...



Simple mistake.

 

[reckedracing]

you may want to get in touch with a lawyer or at least research some legal things

you ever notice how you sign the application and then it says making a false statement on this form amounts to prejury or a felony, or some such bullshit?

that'll just makes things so much worse

if you tell your current employer you will probably be fired

 

[get_nick]

you may want to get in touch with a lawyer or at least research some legal things

you ever notice how you sign the application and then it says making a false statement on this form amounts to prejury or a felony, or some such bullshit?

that'll just makes things so much worse

if you tell your current employer you will probably be fired

current employer knows about everything.

i'm going to look into my legal options. i'm going to call the guy about it.

this isn't my first job being licensed and my old company knew about it too.

I understand the consequences of it, but there should be a difference between being wrong and lying intentionally.

 

[reckedracing]

it said, convicted of a misdemeanor
and you have a misdemeanor on your record

its gonna be a tough sell that you weren't lying

 

[LS_VTEC]

Damn that sucks bro, GL with everything and don't give up.

 

[get_nick]

it said, convicted of a misdemeanor
and you have a misdemeanor on your record

its gonna be a tough sell that you weren't lying

well, the wording confused me. and i wasn't really sure of it because it was written on the same ticket as a speeding ticket.

this is a case of ignorance, not lying. and yes, i know, ignorance is not an excuse.

 

[Briansol]

you got a misdemeanor on a speeding ticket??? WTF?

 

[get_nick]

you got a misdemeanor on a speeding ticket??? WTF?

from the way i remember it, but it was 4 years ago, was that i got a speeding, no insurance, and carry a pistol in the car was all on one ticket. and i went to court for it all at once to.

 

[Briansol]

you should have received a court summons, not a ticket.

 

[get_nick]

you should have received a court summons, not a ticket.

that was probably it. they gave me a court date with the ticket.

but the point of what is going on is that i didn't intentionally omit it from my application, it was accidental because of the vocabulary used.

 

[BigJ]

That blows man. I'd suggest contacting an attorney, one that knows a bit about this kind of stuff and see what they have to say. Since you have a "clean" record to so speak, and were honest, I think you might be able to arrive at a probationary type of agreement with FINRA.

 

[get_nick]

That blows man. I'd suggest contacting an attorney, one that knows a bit about this kind of stuff and see what they have to say. Since you have a "clean" record to so speak, and were honest, I think you might be able to arrive at a probationary type of agreement with FINRA.

i think so too.

i have a clean sales record, military veteran, clean legally other than that case. but somehow i feel i'm going to be fucked. i'll cross my fingers. i'm fucked if they suspend my licenses.

 

[Briansol]

that was probably it. they gave me a court date with the ticket.

but the point of what is going on is that i didn't intentionally omit it from my application, it was accidental because of the vocabulary used.

if it was mcdonalds, you might get away with that.
being a finical advisor, they assume you know how to read.