Allegation type: Employment Separation After Allegations
Allegation status:
The allegations read: Registered representative, in the capacity of an affiliate bank employee, was terminated for referring a customer to a co-worker in order to become eligible for affiliate bank incentive credit he otherwise was not eligible to receive, and indicating in an internal system the customer consented to the referral when they had not. Not related to any known customer harm, complaints, or the sale of securities.
