Came to my office expecting to find a package w a SIMPLE IRA app and a check from a new prospect; find it and a signed check for $14k. Only problem was she had left the PAY TO THE ORDER OF field blank

likefunny
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Hand it to your compliance officer as is. Let him make himself useful

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Just stamp the check ROBERT W BAIRD and deposit accordingly.

You need to write void across it, photo copy it and write a letter to the client informing them why the check isn’t acceptable and how it needs to be made payable, a copy of the letter needs to be kept in the client file, and outgoing correspondence file and a copy needs to go to your OSJ. Do not under any circumstances fill in the correct pay to order.

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