Re: [CANSLIM] Broker Issues

From: "Tom Worley" <stkguru@bellsouth.net>
Subject: Re: [CANSLIM] Broker Issues
Date: Fri, 19 Apr 2002 00:13:39 -0400
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Hi Gene,

Contrary to the other advice given, which is accurate, but not always =
the best in terms of a speedy remedy, I would suggest directly =
contacting the branch manager where the broker works. If the broker =
should happen to be the branch manager, or after contacting the branch =
manager you are still not satisfied, then find where their company =
headquarters is located, and ask to speak to the Compliance Officer.

Between the Branch Manager, and the corporate Compliance Officer, if you =
have a valid complaint you are more likely to get speedy resolution. =
Only failing this would I begin a complaint process with the regulators, =
as that can take years to complete.

If you want to discuss the specifics of the matter privately, talk to me =
at the address below, and I will give you an honest appraisal of the =
quality of your complaint, since I will not likely be formally a part of =
the industry for another few months at the earliest.

Tom Worley
stkguru@bellsouth.net
AIM: TexWorley
- ----- Original Message -----=20
From: Gene Ricci=20
To: canslim@lists.xmission.com=20
Sent: Thursday, April 18, 2002 6:11 PM
Subject: [CANSLIM] Broker Issues


Looking for the name of agency that 'oversee' brokers... or better yet =
who can one complain to if there is a problem?

Thanks,
Gene

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<DIV><FONT face=3DArial>Hi Gene,</FONT></DIV>
<DIV><FONT face=3DArial></FONT>&nbsp;</DIV>
<DIV><FONT face=3DArial>Contrary to the other advice given, which is =
accurate, but=20
not always the best in terms of a speedy remedy, I would suggest =
directly=20
contacting the branch manager where the broker works. If the broker =
should=20
happen to be the branch manager, or after contacting the branch manager =
you are=20
still not satisfied, then find where their company headquarters is =
located, and=20
ask to speak to the Compliance Officer.</FONT></DIV>
<DIV><FONT face=3DArial></FONT>&nbsp;</DIV>
<DIV><FONT face=3DArial>Between the Branch Manager, and the corporate =
Compliance=20
Officer, if you have a valid complaint you are more likely to get speedy =

resolution. Only failing this would I begin a complaint process with the =

regulators, as that can take years to complete.</FONT></DIV>
<DIV><FONT face=3DArial></FONT>&nbsp;</DIV>
<DIV><FONT face=3DArial>If you want to discuss the specifics of the =
matter=20
privately, talk to me at the address below, and I will give you an =
honest=20
appraisal of the quality of your complaint, since I will not likely be =
formally=20
a part of the industry for another few months at the =
earliest.</FONT></DIV>
<DIV><FONT face=3DArial></FONT>&nbsp;</DIV>
<DIV>Tom Worley<BR><A=20
href=3D"mailto:stkguru@bellsouth.net">stkguru@bellsouth.net</A><BR>AIM:=20
TexWorley</DIV>
<DIV style=3D"FONT: 10pt arial">----- Original Message -----=20
<DIV style=3D"BACKGROUND: #e4e4e4; font-color: black"><B>From:</B> <A=20
title=3Dgenr@swbell.net href=3D"mailto:genr@swbell.net">Gene Ricci</A> =
</DIV>
<DIV><B>To:</B> <A title=3Dcanslim@lists.xmission.com=20
href=3D"mailto:canslim@lists.xmission.com">canslim@lists.xmission.com</A>=
 </DIV>
<DIV><B>Sent:</B> Thursday, April 18, 2002 6:11 PM</DIV>
<DIV><B>Subject:</B> [CANSLIM] Broker Issues</DIV></DIV>
<DIV><BR></DIV>
<DIV><FONT face=3D"Comic Sans MS">Looking for the name of agency that =
'oversee'=20
brokers... or better yet who can one complain to if there is a=20
problem?</FONT></DIV>
<DIV><FONT face=3D"Comic Sans MS"></FONT>&nbsp;</DIV>
<DIV><FONT face=3D"Comic Sans MS">Thanks,</FONT></DIV>
<DIV><FONT face=3D"Comic Sans MS">Gene</FONT></DIV></BODY></HTML>

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