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To: Homer1

I would tell the broker that his Brokers License is on the line with this mistake and his firms local license .
I would visit the local office in person and request a meeting with The Manager of the office immediately .
This is very reckless situation with Tax ramifications and SEC would take note if not corrected .


34 posted on 04/19/2016 4:37:59 PM PDT by ncalburt
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To: Homer1; ncalburt

An in-person visit might be a good idea, but don’t go alone. You need a second witness to what goes on in the office.


36 posted on 04/19/2016 4:42:34 PM PDT by PAR35
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