Hi, I referred 2.5MM to a FA, I’m a premier. Back office is saying that they won’t give me compensation because I didn’t authenticate customer. I always authenticate because I have to generate a customized summary. Do you guys any lawyers I can contact? Is it worth it?
2 replies (most recent on top)
I recommend you speak with your FA and your manager, the FA and their manager can help run it up to the right folks if it was a legitimate referral.
My question is, how do they know you didn't authenticate them?
If this was done over the phone, then that call would be recorded, unless you're in a branch.