BANCWEST INVESTMENT SERVICES INC.

Discharged

Representative input necessary information to a previously signed client request for a wire transfer at the client's verbal request, which was inconsistent with firm policies and procedures. The wire transfer was later effectuated for the amount originally requested by the client without complaint.

- At the end of May, a client that I have a great relationship with called me. - I fully verified him, and he advised that he needed to withdraw 15k from his account. - I filled out in full for him an ACH transfer form. He called our support group later on the same day to liquidate assets, and they agreed that it would be best to perform a wire transfer instead. - The wire transfer form he received from the support group was completely blank. - The client signed the form, and e-mailed it to me for processing. He asked me to call him on the following day to review the form because he needed my assistance in helping him with routing numbers, account numbers, and etc. - I called the client per his request after reviewing the form. I fully verified, him, and he asked me to help him move the assets from his investment account, to his bank of the west account (parent company). - I did exactly as the client asked me to, which was to enter his debit and credit accounts on the form for him, because he was traveling. - The client was also VerID'd by our wire transfer department to confirm the transfer of assets were being executed too his liking. - After the the wire department was satisfied, and were comfortable that they spoke with the client, they executed the wire after confirming the accounts were the accounts the client wanted to move assets from and into. This was all done on a recorded line. - The client was happy, as he received the assets by the time he requested, and the amount was correct. - A week or two later, I was being investigated for altering client documents, and was termed for the following which is currently on my CRD: Firm determined that representative acted in a manner inconsistent with firm policies and procedures by adding information to a signed client form. (Client does not appear to have been harmed by the representative's conduct). - The client is on my side,and wrote a letter on my behalf advising that I followed his instructions to his liking. The letter is now with my attorney. - As a result, there was no loss to the client, to the firm, and I did not benefit from this.