Rita Delores Thompson is currently employed as a Broker and/or Investment Adviser at CETERA INVESTMENT SERVICES LLC located at 9533 W 143RD ST, ORLAND PARK, IL, 60462.
Rita Delores Thompson has worked at CETERA INVESTMENT SERVICES LLC since January 08, 2018
Disclosure History
Rita Delores Thompson has 1 Disclosure Event(s).
Date: January 05, 2015 Category: Employment Separation After Allegations Firm Name: JPMORGAN CHASE BANK Termination Type: Discharged Allegations: TERMINATED BY AFFILIATE BANK - NON SECURITIES RELATED. REGISTERED REP, IN THE CAPACITY OF AN AFFILIATE BANK EMPLOYEE, REMOVED A FORMER BANK CUSTOMER'S SIGNATURE CARD FROM THE BANK WHICH IS A VIOLATION OF BANK POLICY. RR STATES SHE REMOVED THE SIGNATURE CARD FROM THE AFFILIATE BANK BRANCH FOR THE PURPOSE OF RESPONDING TO AN INQUIRY ABOUT A CUSTOMER RELATIONSHIP. THE INQUIRY INTO THE CUSTOMER RELATIONSHIP DID NOT REVEAL WRONGDOING AND THE MATTER WAS CLOSED.
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