JANNEY MONTGOMERY

Permitted to Resign

JANNEY ALLEGED THAT I WAS USING MY OUTSIDE EMAIL ADDRESS TO COMMUNICATE WITH THE PUBLIC.

ON 5/28/13 WE HAD OUR ANNUAL COMPLIANCE MEETING. THE COMPLIANCE OFFICER FOUND EMAILS GENERATED FROM MY PERSONAL EMAIL ACCOUNT PJSMUCKERS@HOTMAIL.COM AND BROUGHT IT TO MY ATTENTION. THE NEXT DAY I FIGURED OUT THAT WHILE USING "ACTIVESYNC", JANNEY'S CELL PHONE EMALL DELIVERY PLATFORM, MY DEFAULT WAS SET INCORRECTLY. WHENEVER I GENERATED A MESSAGE IT WOULD DEFAULT FROM MY HOTRNAIL ACCOUNT. THE COMPLIANCE OFFICER THEN WANTED ACCESS TO THE HOTMALL ACCT WHICH I DEACTIVATED TRULY THINKING THIS WOULD SOLVE THE IMMEDIATE PROBLEM ONCE AND FOR ALL. UNKNOWINGLY, JANNEY FOUND THIS ACTION TO BE SUSPICIOUS AND OPENED THE PRESENT INVESTIGATION. ON 6/6/13 I WAS ASKED TO COME TO PHILADELPHIA FOR THEM TO TAKE A "QUICK LOOK" AT MY PERSONAL COMPUTER I HAD BEEN USING TO ACCESS CITRIX FOR WORK WHEN OUT OF THE OFFICE. BEFORE BRINGING THE COMPUTER UP I DELETED PRIVATE AND HIGHLY PERSONAL PICTURES AS WELL AS MY WEB BROWSER HISTORY WHICH WAS IN NO WAY JANNEY OR CLIENT RELATED. I FULLY COMPLIED WITH JANNEY'S REQUEST TO TAKE MY COMPUTER AND CELL PHONE WHICH THEY GAVE TO A THIRD PARTY COMPUTER ANALYSTS FOR REVIEW. I ALSO SIGNED AN AFFIDAVIT GIVING THEM MY PASSWORDS AND GRANTING THEM PERMISSION TO ACCESS MY OTHER EMAIL ACCOUNTS, FACEBOOK, AND LINKDIN PAGES. ON 6/27/13 MY MANAGER AND I WERE ASKED TO COME TO PHILADELPHIA AGAIN. WE MET WITH JANNEY'S GENERAL COUNSEL AND TWO COMPLIANCE OFFICERS. ALTHOUGH THEY DID NOT FIND ANYTHING INCRIMINATING FROM THE DEVICE SEARCHES THEY STILL INSISTED I WAS KEEPING CLIENT FILES AND AS "PAID SKEPTICS" THEY NEEDED TO CIRCLE AROUND AGAIN WITH THE THIRD PARTY ANALYST. IT WAS ALSO STATED THAT THERE WAS A DOWNLOAD TO AN EXTERNAL DEVICE FROM THE LAPTOP. ON 7/1/13 I PROVIDED THEM WITH THE EXTERNAL HARD DRIVE WHICH STORES THOUSANDS OF PERSONAL FAMILY PHOTOS. WE HAVE USED IT FOR MANY YEARS TO BACK UP PERSONAL PHOTOS. ALSO, ON 7/1/13 I SIGNED AN "AUTHORIZATION TO RELEASE ACCOUNT INFORMATION VOLUNTARY CONSENT FORM AND DECLARATION" FROM MICROSOFT IN ORDER FOR JANNEY TO ATTEMPT TO RETRIEVE THE DEACTIVATED HOTMAIL ACCOUNT. AS OF NOW I HAVE HEARD NOTHING ELSE. FOR THE RECORD, IN MY 13+ YEAR CAREER I HAVE OPERATED VOID OF ANY DISCIPLINARY ACTIONS, LAWSUITS OR JUDGMENTS OF ANY KIND WHICH IS REFLECTED ON MY U-4 AND SECIAPD. ALSO, THROUGH THIS INVESTIGATION MY BRANCH MANAGER HAS BEEN FULLY SUPPORTIVE OF ME.