Monday, January 31, 2005
First Command fails to discipline wayward representative
What on earth do you have to do to get fired by First Command?
James Provo, a First Command financial advisor and district supervisor in Charleston, South Carolina, recently got into some regulatory trouble with the NASD.
Well, no...not just any regulatory trouble. He attempted to intimidate a customer who complained about First Command by informing him that his military superior officers were being notified and favorable personnel actions were in jeopardy as a result of the complaint.
From the NASD press release:
And so the NASD disciplined Provo for them, fining him $25,000 and suspending him from acting in a supervisory capacity for 30 days.
Well, the 30 days are up. And James Provo is right back at work, picking up his phone at First Command's Charleston office. And still pitching financial services to the same military audience.
Must be part of that guaranteed "check-a-month" program. Except the "check-a-month" doesn't apply to annuity payouts to investors - it applies to paychecks for reps who threaten and intimidate servicemen and clients.
Military Times, apparently, was too busy to do the follow-up on this major Gannett advertiser.
I understand.
Even if they had, I'm sure they would have figured out some way to leave First Command's name out of the story.
Splash, out
Jason
James Provo, a First Command financial advisor and district supervisor in Charleston, South Carolina, recently got into some regulatory trouble with the NASD.
Well, no...not just any regulatory trouble. He attempted to intimidate a customer who complained about First Command by informing him that his military superior officers were being notified and favorable personnel actions were in jeopardy as a result of the complaint.
From the NASD press release:
NASD also found that First Command violated NASD rules when a First Command supervisor inappropriately confronted a former customer – an Air Force officer – who complained in an e-mail to an online publication that he had suffered losses and recommended that others not invest with First Command. The e-mail was in response to a negative article about First Command’s sales practices.
First Command District Supervisor James Provo contacted the customer, suggested that he might need an attorney, told him that the highest level of Air Force commanders were being contacted regarding the e-mail and told him his previously approved change in assignment might be delayed until the matter was resolved. NASD also found that Provo arranged a meeting with the Air Force’s legal assistance office, questioning whether the customer had violated Air Force regulations by using e-mail to send his message criticizing First Command. Provo also contacted the customer’s squadron commander and informed her that First Command might have a grievance against a member of her squadron. First Command eventually wrote a letter of apology to the former client, but otherwise took no steps to discipline Provo.
And so the NASD disciplined Provo for them, fining him $25,000 and suspending him from acting in a supervisory capacity for 30 days.
Well, the 30 days are up. And James Provo is right back at work, picking up his phone at First Command's Charleston office. And still pitching financial services to the same military audience.
Must be part of that guaranteed "check-a-month" program. Except the "check-a-month" doesn't apply to annuity payouts to investors - it applies to paychecks for reps who threaten and intimidate servicemen and clients.
Military Times, apparently, was too busy to do the follow-up on this major Gannett advertiser.
I understand.
Even if they had, I'm sure they would have figured out some way to leave First Command's name out of the story.
Splash, out
Jason
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