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Alex J.
Alex J., Solicitor
Category: Law
Satisfied Customers: 3655
Experience:  Solicitors 2 years plus PQE
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HI I am a City Trader in London in London working a for a

Resolved Question:

HI
I am a City Trader in London in London working a for a regulated FCA firm.
In mid-January I resigned from my former employer, where I was self employed with no contract, who had since given me a clean reference and now I am a registered CF30 with an FCA regulated firm.
Since my resignation most of the senior brokers have left as well due to some un ethical standards of the 2 directors.
Subsequently , after the clean reference , they have emailed me saying that there is an "investigation" and wanted me to come to office.
I emailed them back saying I would be more than happy to help , but wanted to be prepared before going up there.

Since then I have had no contact with them, but they have been up to my new office with my new employers!!!
and in the meeting the had 3 allegations which were memorialised in minutes by my CFO.
2 of the allegations were immediately dismissed, but the 3rd was "Conspiracy to defraud" which is a criminal act.
My compliance officer and CFO ended the meeting right there and then because they were an independent 3rd party whom CRIMINAL allegations were being made about one of there employers.

I was never made aware of any allegations either criminal or otherwise
I STRONGLY believe they have slandered my name at my new firm and consciously or sub-consciously damaged any future good will with my new firm , they have embarrassed me and I believe damaged my moral standings which will retard future earning

please help

Kind regards

Dom
Submitted: 3 years ago.
Category: Law
Expert:  Alex J. replied 3 years ago.
Hi,

Thank you for your question and welcome my name is XXXXX XXXXX I will assist you.

Are there any basis to these allegations? As in have they got any evidence?

Kind regards

AJ
Customer: replied 3 years ago.

No they did not present anything to me nor my employers


I emailed them when I was made aware of an internal investigation and responded to them as follows:


domenico daniele

2/27/14






 


 


 


Darren,








I have no recollection of agreeing to attend your offices by Tuesday 4th March 2013. If I gave you that impression I apologise.



I will arrange, with you, a time and location for an alternative meeting once I am fully aware of the reasons for such a meeting and have prepared accordingly.



Hence, will you please provide me with sufficient detail relating to the serious matter that has come to the attention of the board of Union Investment Management Ltd to which you refer in your e-mail earlier today.



I look forward to being of assistance to you in your investigation.



Sincerely



Dom




They by-passed me and made allegations to my employer, one of which was criminal with no proof

Expert:  Alex J. replied 3 years ago.
Hi,

Thank you.

DO you have the allegations in writing? Or would your current employer be prepared to confirm the allegations were made?

Kind regards

AJ
Customer: replied 3 years ago.

I do not have them in writing, nor was I made aware.


My current employer has confirmed these allegations were made and when the criminal one was made they ended meeting, it has been recorded in minutes of meeting that took place by 2 independent people within my firm

Expert:  Alex J. replied 3 years ago.
Hi,

Thank you.

As this has not been published i.e written down and the accusations have been made to some one where it is likely to cause significant harm you may have a claim for Slander.

Slander is a tort and unfortunately does not relate to the Defamation Act as there is not a publication that will cause you serious harm. Therefore to bring a successful claim you would have to prove some form of financial loss.

What you will have to do is ask your employer to confirm that they would be prepared to give a witness statement that these allegations were made (if necessary) and provide you with a copy of the minutes.

I would then go straight to a solicitor, a letter has to come from a solicitors headed paper to give it gravitas and get them to write a letter warning off your old employer and saying you will hold them accountable for any damage/financial loss you suffer as a result of these false allegations.

I look forward to hearing from you.

Kind regards

AJ
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