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When I first started to put the pieces into place to pursue a career in the securities industry, I found out that a family member had opened several accounts in my name without my knowledge of them. All were in collections and deeply hurting my credit history, and I had not seen them until the application process of becoming an NRA. Once I realized them I started to dispute each account and have them removed through the FTC due to fraudulently being opened. This took some time and many failed attempts, and by that time I had passed my SIE and was ready to schedule my next licensing exams, and I felt I had no choice but to handle these accounts by paying the creditors. Even though these were not my debts, I paid all of them back in full except for one account, D2 Management, because all of my funds were depleted while handling these debts. I wish that this was not the case and I did not have this lingering over my head and displaying false accusations about my character and personal finance history, but I also understand that in order for me to continue my journey into this industry I must be completely transparent and handle all of the obstacles necessary to pursue my career.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
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Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.