Allegation type: Employment Separation After Allegations
Allegation status:
The allegations read: Failure to follow policy and procedures.
failure to maintain/service client records in a timely or secure manner and follow prompt check transmittal requirements.
failed to obtain annuity pre-approvals from compliance.
failed to timely respond or communicate with his manager.
was late or failed to attend client meetings and/or team meetings.
failure to complete the firm's annual firm element training within the required timeframe
