Audit has given me PTSD. Brokerage account accidentally charged me 700$ for a bounced check that I didn’t deposit. Customer rep said it was a clerical error on the account it should have been going into. I told them to have better controls In place to prevent these issues.

likefunny
Posting as :
works at
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Did they figure out the error first and notify you? If so they have proper monitoring in place and not a control deficiency in the process 😏

funny

I found the deficiency on my ow, they never reached out or even knew about it until I found it. I told the customer service representative that they need to have controls in place such as secondary review of check # so this doesn’t happen again. This is a control deficiency with no compensating controls that would affect customer assets and brokerage company liabilities thus lead to more substantive testing.

funny

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