I was employed by scottrade and an investigation was started for trading on family accounts without written approval- investigation started because paperwork was held up at another office and i traded on accounts befrore processed - in the investigation a few trades on the family accounts ( on line trades) came from a scottrade IP but thru the internet - I dont recall making the trades and nevr admiitted to making them . I went thru 2 different 2 hr meeting and was told at last meeting that it was over and i would have a determination in a few days -- Keep in mind family does not belivee that any trades were not authorized ( all ok) , - just sxcottrade. When i was told investigation was over i resigned . I was told by HR no open issues. I got a clean u5 in the mail and next tjhink you know I had a mark in finra and on my u5-- scottrade caims they stopped investigation when i left-- IT look like that i broke SEC rules on trading when all i think i broke policy
you need to have a clean record with FINRA. we can work with FINRA to determine the basis for the record and the ability to challenge same. ed dimon, esq. 732-797-1600
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