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F@CK! Being investigated

Discussion in 'Members' Lounge' started by get_nick, Mar 19, 2008.

  1. get_nick

    get_nick These snozzberries taste like snozzberries... VIP

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    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. :mad:
     
  2. Turbo&Auto

    Turbo&Auto Nick Go FAST!!

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    Hopefully your fight club works well tonight :) GL man!
     
  3. drbelanger73

    drbelanger73 Beer is good for you.

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    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.
     
  4. TurboMirage

    TurboMirage YEEAAAHHH VIP

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    told you to take up underwater basket weaving :)
     
  5. nootrac22

    nootrac22 Well-Known Member VIP

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  6. |Chaz|

    |Chaz| Well-Known Member VIP

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

    get_nick These snozzberries taste like snozzberries... VIP

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    my stress release isn't until saturday.
    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
     
  8. drbelanger73

    drbelanger73 Beer is good for you.

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    Wow thats lame...

    Misdemeanor OOOOO you big brute.

    Thats why its a misdemeanor...

    :lame:

    Simple mistake.
     
  9. reckedracing

    reckedracing TTIWWOP VIP

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    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
     
  10. get_nick

    get_nick These snozzberries taste like snozzberries... VIP

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    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.
     
  11. reckedracing

    reckedracing TTIWWOP VIP

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    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
     
  12. LS_VTEC

    LS_VTEC you get the BRAKE

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

    get_nick These snozzberries taste like snozzberries... VIP

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    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.
     
  14. Briansol

    Briansol Admins Admin VIP

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    you got a misdemeanor on a speeding ticket??? WTF?
     
  15. get_nick

    get_nick These snozzberries taste like snozzberries... VIP

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    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.
     
  16. Briansol

    Briansol Admins Admin VIP

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

    get_nick These snozzberries taste like snozzberries... VIP

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    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.
     
  18. BigJ

    BigJ I'm just about that action Boss. VIP

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    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.
     
  19. get_nick

    get_nick These snozzberries taste like snozzberries... VIP

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    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.
     
  20. Briansol

    Briansol Admins Admin VIP

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