I have a client that had a CD come due while I was gone during Christmas... the money wasn’t sent out in time(Tuesday versus Friday) and she emailed me complaining about it. I sent it to home office..

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Don’t worry about it. It’s operational and not a chance of appearing. Calm down.

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Never email the home office

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This is an operational issue. They happen all day every day. Did you call her and apologize and work it out? Most clients with a simple apology are fine.

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It won’t hit your U4. It’s an administrative error. Not to worry

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Omg!!!!! Fight it!

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That’s why you can never ever go away—something like that happened to me- I figured since it was a holiday I wouldn’t be missing anything if I didn’t go into the office....

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Never go away?

I don’t understand what the issue is here why was the client upset ?

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Clearly, you work with the wrong firm. Find (start) the “right” firm ASAP.

Cont.... To let them know about the situation. They replied that it counts as a “complaint” and they would keep reviewing. Any way this goes against my U4 or go on BrokerCheck. This is ridiculous.

No chance in hell it ends up on your U4.

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