WALTER WELCOM GOSS is currently employed as a Broker and/or Investment Adviser at MML INVESTORS SERVICES, LLC located at 43 CONSTITUTION DRIVE, SUITE 201, BEDFORD, NH, 03110.
WALTER WELCOM GOSS has worked at MML INVESTORS SERVICES, LLC since October 05, 2017
Disclosure History
WALTER WELCOM GOSS has 1 Disclosure Event(s).
Date: April 26, 2017 Category: Employment Separation After Allegations Firm Name: Citizens Securities, inc. Termination Type: Discharged Allegations: Advised by parent company bank, Citizens Bank N.A., that Mr. Goss had been terminated for violation of Code of Ethics policy. Not investment related. Broker Comment: Citizens securities terminated my employment on 4/26/2017 for allegations that I violated Citizens Banks Code of Ethics. In my role as a producing sales manager we would have lending opportunities that we would refer to one of many loan officers that worked for Citizens Bank and they would complete the loan application and take that client through the lending process. There was a particular opportunity with one of my investment clients that I sent over to a loan officer in Ohio(one of our lending centers) that wanted to do a joint application for a home equity line of credit. The loan officer first input the application as an individual application which doesn't require any signatures to submit and I noticed it wasn't joint as they requested so I informed the loan officer of this mistake. To add a secondary signer there is a form which requires the customers signature even though none is needed when submitting the initial application. An investigation was started on this application which I found out during this investigation that the loan officer had signed the customers signature because the applicant was not available to sign the form and at the conclusion of the investigation they concluded, "I must have known about the forged signature" and was terminated for not reporting the forged signature by this loan officer which violated Citizens Code of Ethics. I would have had no way of knowing he had signed this form for the customer unless he specifically informed me he had done it as we don't have access to view any of the loan documents, income documents etc in the system.
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