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Penny Swyne, an agent employed by Bear Broker-Dealers, has received a written complaint via e-mail...

FINRA Series-63 Full Course Access
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Penny Swyne, an agent employed by Bear Broker-Dealers, has received a written complaint via e-mail from Mr. Wolf regarding her performance as his agent.

What are Ms. Swyne’s legitimate options?

A.

Ms. Swyne can call Mr. Wolf and offer to meet him for a romantic dinner and try to convince him to revoke the complaint.

B.

As illegal as it may sound, since the complaint was via e-mail, Ms. Swyne can hit the delete button and make it all go away.

C.

Ms. Swyne must forward the complaint to the state Administrator.

D.

Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint.

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