Go to Jeff Salisbury LWGate Home Page.From: "Edward W. Gjertsen II" <ed@macktracks.com>
Subject: RE: [CANSLIM] Broker Issues
Date: Fri, 19 Apr 2002 09:34:29 -0500
Previous Article (by Date): [CANSLIM] Hotmail.com accounts Jeff Salisbury
Top of Thread: Re: [CANSLIM] Broker Issues "Tom Worley"
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Gene - Tom has an excellent point. I did not want to weigh in too
heavily with my opinion as I am a NASD arbitrator. But, he is right on
the mark in regards to working your way down from the top of your
Broker's firm. Nice job Tom!
Edward W. Gjertsen II, CFP
Vice President
Mack Investment Securities, Inc.
ed@macktracks.com
- -----Original Message-----
From: owner-canslim@lists.xmission.com
[mailto:owner-canslim@lists.xmission.com] On Behalf Of Tom Worley
Sent: Thursday, April 18, 2002 11:14 PM
To: canslim@lists.xmission.com
Subject: Re: [CANSLIM] Broker Issues
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 -----
From: Gene Ricci <mailto:genr@swbell.net>
To: canslim@lists.xmission.com
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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<p class=3DMsoNormal><font size=3D2 color=3Dnavy face=3DArial><span =
style=3D'font-size:
10.0pt;font-family:Arial;color:navy'>Gene – Tom has an excellent =
point.
I did not want to weigh in too heavily with my opinion as I am a NASD
arbitrator. But, he is right on the mark in regards to working =
your way down
from the top of your Broker’s firm. Nice job =
Tom!</span></font></p>
<p class=3DMsoNormal><font size=3D2 color=3Dnavy face=3DArial><span =
style=3D'font-size:
10.0pt;font-family:Arial;color:navy'> </span></font></p>
<div>
<p style=3D'margin-bottom:12.0pt'><font size=3D2 color=3Dnavy =
face=3D"Times New Roman"><span
style=3D'font-size:10.0pt;color:navy'>Edward W. Gjertsen II, CFP<br>
Vice President<br>
Mack Investment Securities, Inc.<br>
</span></font><font size=3D2 color=3Dnavy><span =
style=3D'font-size:10.0pt;color:navy'>ed@macktracks.com</span></font></p>=
</div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><font size=3D2 =
face=3DTahoma><span
style=3D'font-size:10.0pt;font-family:Tahoma'>-----Original =
Message-----<br>
<b><span style=3D'font-weight:bold'>From:</span></b> =
owner-</span></font><font
size=3D2 face=3DTahoma><span =
style=3D'font-size:10.0pt;font-family:Tahoma'>canslim@lists.xmission.com<=
/span></font><font
size=3D2 face=3DTahoma><span =
style=3D'font-size:10.0pt;font-family:Tahoma'>
[mailto:owner-</span></font><font size=3D2 face=3DTahoma><span =
style=3D'font-size:
=
10.0pt;font-family:Tahoma'>canslim@lists.xmission.com</span></font><font
size=3D2 face=3DTahoma><span =
style=3D'font-size:10.0pt;font-family:Tahoma'>] <b><span
style=3D'font-weight:bold'>On Behalf Of </span></b>Tom Worley<br>
<b><span style=3D'font-weight:bold'>Sent:</span></b> Thursday, April 18, =
2002
11:14 PM<br>
<b><span style=3D'font-weight:bold'>To:</span></b> </span></font><font =
size=3D2
face=3DTahoma><span =
style=3D'font-size:10.0pt;font-family:Tahoma'>canslim@lists.xmission.com<=
/span></font><font
size=3D2 face=3DTahoma><span =
style=3D'font-size:10.0pt;font-family:Tahoma'><br>
<b><span style=3D'font-weight:bold'>Subject:</span></b> Re: [CANSLIM] =
Broker
Issues</span></font></p>
<p class=3DMsoNormal style=3D'margin-left:.5in'><font size=3D3 =
face=3D"Times New Roman"><span
style=3D'font-size:12.0pt'> </span></font></p>
<div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><font size=3D3 =
face=3DArial><span
style=3D'font-size:12.0pt;font-family:Arial'>Hi Gene,</span></font></p>
</div>
<div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><font size=3D3 =
face=3D"Times New Roman"><span
style=3D'font-size:12.0pt'> </span></font></p>
</div>
<div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><font size=3D3 =
face=3DArial><span
style=3D'font-size:12.0pt;font-family:Arial'>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.</span></font></p>
</div>
<div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><font size=3D3 =
face=3D"Times New Roman"><span
style=3D'font-size:12.0pt'> </span></font></p>
</div>
<div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><font size=3D3 =
face=3DArial><span
style=3D'font-size:12.0pt;font-family:Arial'>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.</span></font></p>
</div>
<div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><font size=3D3 =
face=3D"Times New Roman"><span
style=3D'font-size:12.0pt'> </span></font></p>
</div>
<div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><font size=3D3 =
face=3DArial><span
style=3D'font-size:12.0pt;font-family:Arial'>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.</span></font></p>
</div>
<div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><font size=3D3 =
face=3D"Times New Roman"><span
style=3D'font-size:12.0pt'> </span></font></p>
</div>
<div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><font size=3D3 =
face=3D"Times New Roman"><span
style=3D'font-size:12.0pt'>Tom Worley<br>
<a href=3D"mailto:stkguru@bellsouth.net">stkguru@bellsouth.net</a><br>
AIM: TexWorley</span></font></p>
</div>
<div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><font size=3D2 =
face=3DArial><span
style=3D'font-size:10.0pt;font-family:Arial'>----- Original Message =
- ----- </span></font></p>
<div style=3D'font-color:black'>
<p class=3DMsoNormal =
style=3D'margin-left:.5in;background:#E4E4E4'><b><font size=3D2
face=3DArial><span =
style=3D'font-size:10.0pt;font-family:Arial;font-weight:bold'>From:</span=
></font></b><font
size=3D2 face=3DArial><span =
style=3D'font-size:10.0pt;font-family:Arial'> <a
href=3D"mailto:genr@swbell.net" title=3D"genr@swbell.net">Gene Ricci</a> =
</span></font></p>
</div>
<div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><b><font size=3D2 =
face=3DArial><span
style=3D'font-size:10.0pt;font-family:Arial;font-weight:bold'>To:</span><=
/font></b><font
size=3D2 face=3DArial><span =
style=3D'font-size:10.0pt;font-family:Arial'> <a
href=3D"mailto:canslim@lists.xmission.com" =
title=3D"canslim@lists.xmission.com">canslim@lists.xmission.com</a>
</span></font></p>
</div>
<div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><b><font size=3D2 =
face=3DArial><span
style=3D'font-size:10.0pt;font-family:Arial;font-weight:bold'>Sent:</span=
></font></b><font
size=3D2 face=3DArial><span =
style=3D'font-size:10.0pt;font-family:Arial'> Thursday,
April 18, 2002 6:11 PM</span></font></p>
</div>
<div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><b><font size=3D2 =
face=3DArial><span
style=3D'font-size:10.0pt;font-family:Arial;font-weight:bold'>Subject:</s=
pan></font></b><font
size=3D2 face=3DArial><span =
style=3D'font-size:10.0pt;font-family:Arial'> [CANSLIM]
Broker Issues</span></font></p>
</div>
</div>
<div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><font size=3D3 =
face=3D"Times New Roman"><span
style=3D'font-size:12.0pt'> </span></font></p>
</div>
<div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><font size=3D3 =
face=3D"Comic Sans MS"><span
style=3D'font-size:12.0pt;font-family:"Comic Sans MS"'>Looking for the =
name of
agency that 'oversee' brokers... or better yet who can one complain to =
if there
is a problem?</span></font></p>
</div>
<div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><font size=3D3 =
face=3D"Times New Roman"><span
style=3D'font-size:12.0pt'> </span></font></p>
</div>
<div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><font size=3D3 =
face=3D"Comic Sans MS"><span
style=3D'font-size:12.0pt;font-family:"Comic Sans =
MS"'>Thanks,</span></font></p>
</div>
<div>
<p class=3DMsoNormal style=3D'margin-left:.5in'><font size=3D3 =
face=3D"Comic Sans MS"><span
style=3D'font-size:12.0pt;font-family:"Comic Sans =
MS"'>Gene</span></font></p>
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Previous Article (by Date): [CANSLIM] Hotmail.com accounts Jeff Salisbury
Top of Thread: Re: [CANSLIM] Broker Issues "Tom Worley"
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