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.
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.