Today

Whether his Series 7 and 63 survive the FINRA CE deadline he missed in December 2025, or are defunct

open — JT replied 2026-09-11 "Let me look into this"; target 2026-09-15

Forward anything that arrives on the 877 (8776528607) or fax-line port requests while Derek is out; he added JT's address to both orders for this

met 2026-09-11 for the first confirmation — order 2026090823375823913 confirmed for 2026-09-18 11:30 AM ET, forwarded within two minutes; which number it covers is not stated; continues until both orders complete

Save the entire Zakir complaint review to `Box\Triumph Capital Management\Team\1_COMPLIANCE FOLDER\CLIENT COMPLAINTS\CLIENT COMPLAINTS\2026\2026-Q3_Client Complaint Review`, in addition to the client file

open, target 2026-09-08; JT flagged he does not remember the client-complaint process and will look it up first

Add a "YTD Realized Capital Gain/Loss" column at the far right of the Fiduciary Oversight Report

open, target 2026-09-11 — he set the pace himself: "Don't need it now... Just whenever this week"

A documented method for recording client follow-up items pending on Derek: what was communicated, who directed it, what remains pending, and whether it needs Derek's follow-up, advisor approval, or compliance review; plus anything else he and Rheece should be doing

open — re-raised on Teams 2026-09-06; JT acknowledged and committed in writing to reviewing it 2026-09-07 (target moved from 2026-09-09)

Reimbursement of the margin interest accruing on a ~$98,000 debit balance during the Firm's delay in responding (asked of Jamar and Derek; JT not addressed)

open, no Firm position taken; assess against the complaint definition

Resend the Supabase organization invitation (asked four times across two days: 2026-09-03 meeting, Teams 4:28 PM and 7:58 PM; 2026-09-04 8:12 AM)

open at 2026-09-07 — a second link JT sent also expired unopened, so JT offered a fifteen-minute live walkthrough instead of another emailed invite; no reply from Derek in the window

Think through how a portal "Tax Center" would work: annual tax tables, current year prominent and prior years archived, the annual update path, and how the tax year and last-updated date are shown

open — he called it roadmap, not now; overlaps the open "second tool within a week" commitment

Distribute the Zoom end-user guide to everyone, asked for the same day

largely overtaken 2026-09-08 — Chad sent the settings, portal and voicemail guides to the whole `zoomphone@` list himself on cutover day; confirm with him whether anything further is expected

Details on the $600/month Supabase SOC 2 upgrade

open

One more portal tool in front of advisors within about a week of the compliance launch

open

Simpler client-prep flow for his team (client name in, not a Box folder)

open, JT offered a mechanical build

A read on the Enkodia pitch deck: idea, numbers, what to say to the sender

open, response drafted through v4

A catch-up call

scheduled — his invite "Tim Gelling Kesii", Google Meet, 2026-09-15 3:00–4:00 PM ET, accepted by JT 2026-09-10

Review his MBTC Dividend Model build once he sends the printed output or the scripts (private GitHub repo or files)

open, waiting on Derek's send

Formal complaint log entry and the CCO's direct contact for the Zakirs, as he promised the clients in writing

direct contact done 2026-09-07 — Brandon wrote to Raya and Rob himself, copying JT and Derek; the formal complaint log entry is still open

Four items through Derek: agreements with fee schedules and amendments; complete fee accounting since 2018 mapped to disclosed terms; written explanation of each discrepancy; reimbursement plan and timeline. Their deadline EOD 2026-09-04; Derek's dates 2026-09-11 (package) and 2026-10-02 (reconciliation)

open — Brandon acknowledged their notice as CCO on 2026-09-07 and promised "an appropriate resolution," but none of the four items has been delivered. 2026-09-11: the package date passed; Brandon emailed that the review is complete and proposed a call instead; no client reply in the window

Tell him if JT needs anything on the Zakir matter (email reply still a draft; on Teams JT asked him for the 2% MAP or agreement)

open

Compliance and operations visibility on Nydia Retirement Solutions' resignation as TPA for three 401(k) plans; 2025 Form 5500 due 2026-10-15 with extension

open — documented 2026-09-08: the official resignation letter arrived by mail with a Form 5558, both filed to the TCM 401(k) plan folder under 2025, hard copies to Derek's desk. Unclear whether Nydia filed the 5558 or merely enclosed it; the replacement-TPA decision is still unowned

Finish wrapping the Mayer BD Fee Clean Up workbook: the 20 items marked "needs a look" (12 matched, 59 mismatched)

open as of 2026-06-11 (backfill); later status not on file

Add Brian Stark's two small non-TAMP accounts to the Fiduciary Oversight Report ("tomorrow is fine for those")

open as of 2026-06-10 (backfill); later status not on file

Brief JT on his client and their website and say who reaches out; JT offered to schedule the call

open as of 2026-06-08 (backfill); only two names typed in reply

Remediate the two in-house file items disclosed in the Kephart solicitor due-diligence submission; they do not reflect on the solicitor but are now named in an archived compliance record

open, no owner or date stated in the submission — needs a target set with him

Keep the Market & Economic Review deck current in the dated-folder log under his TCM Firm File › Reports & Resources › Market & Economic Review Presentation — deck, PDF and Update Summary per version, root Change Log

open, ongoing; v1 and v2 for 2026-09-11 delivered; he presents Monday 2026-09-14

Flag the duplicate extension 817 (Daniel Mayer and Stephen Murphy) back to Chad

open, target 2026-09-09

A fifteen-minute live Supabase walkthrough call — log him in and get him creating, to stop the invite links expiring and to lower the odds of him breaking something

open, waiting on Derek to name a time; target 2026-09-11

Clean up the Jared Thompson relationship check before it is relied on: JT sent it flagged as a fast 20–30 minute run with the Black Diamond equity bands and other items not right, and told him not to send it anywhere

open, target 2026-09-09

Answer his documentation-process question and decide with Brandon whether it becomes a firm procedure tied to the complaint log

open, target moved to 2026-09-07 — JT told him on Teams "I will take a look at those tomorrow"

Review and reply to his Jared Thompson email and his client-complaint documentation email

open, target 2026-09-07 per JT's written commitment

Produce whatever supporting detail or views the Zakir client response needs, once Derek picks a route

open, waiting on Derek's decision

Update the AI policy section in the training module to the cut-down policy before launch

open

Soft-launch the compliance training (forms and approved advertising populated first, then the invite email)

open, target Fri 2026-09-04 or Mon 2026-09-07

Formal compliance write-up before any client data goes on the portal

open

Keep training Ask Murray with guardrails before broader rollout

open

Schema walkthrough call whenever useful

open, offered; low priority

After his review: package the change log and manual, post to the public drive, finish the training modules, notify advisors

open, waiting on his review 2026-09-04 or the weekend

Daily Options Report by Box link each morning; removal from the distro on request

open, running

Log the Zakir complaint formally and confirm Brandon's direct contact, per Derek's written commitment to the clients

open, target 2026-09-04

Script to pull the Annual Client Update email attachments into the Compliance folder as a supplement to the standard form

open as of 2026-06-10, promised for one to two weeks out (backfill); later status not on file

The document package Derek promised in writing for 2026-09-11 did not go; the CCO proposed a call instead. Whether it still goes, and on what date, is unstated; the 2026-10-02 reconciliation date still stands

Waiting on Brandon Drespling and Derek Eichenwald

The 877 (8776528607) and office fax line ports — the 877 was cancelled with no stated reason and the fax order came back with an exception; both resubmitted 2026-09-08, Zoom ticket ZPPO0570452 open. The 877 still rings into Voyant. 2026-09-11: one of the two orders (2026090823375823913) confirmed for 2026-09-18 11:30 AM ET; which number is not stated

Waiting on Zoom and the outgoing provider; Derek to check his inbox for Voyant contact

Duplicate extension 817 assigned to both Daniel Mayer and Stephen Murphy in the published firm extension list; Murphy's row highlighted in the original

Waiting on Chad — one of the two has to move

Whether the margin-interest reimbursement demand is a reportable complaint, and whether the Firm pays

Waiting on Brandon as CCO; JT to assess and raise it alongside the Zakir matter — two reimbursement demands inside four days

Derek's written answers on why over $100,000 went to option buybacks without cash to cover it, how the positions outpace a 10.325% borrowing cost, and the exit plan

Waiting on Derek — overdue since 2026-09-01, one promised date already missed

Supabase SOC 2 upgrade (about $600/month)

Waiting on Derek's decision after JT sends details

Zakir credit decision: the signed agreements say 2% / 2.2% / 1% and billing matched them ($0 contract difference); decide whether the Firm extends a credit and on which basis — client's 1% $40,124, Derek's verbal 1.25% $28,497, 0.99% from 4/20/2026 $2,038, 1.00% from 7/1/2026 $1,034. On 2026-09-04 he confirmed the documentation holds and located the exposure in pre-2026 MAP language, but did not make the call. Added 2026-09-06: the 1.00% reduction was sent by DocuSign twice in 2026 and never executed — 4/20/2026 expired unsigned, 6/9/2026 declined by Rob 7/2/2026 — so part of the 133-day delay sits with the client (updated 2026-09-06)

Waiting on Brandon's call as CCO before the 2026-09-11 package. Added 2026-09-07: he wrote to the clients himself that day promising "an appropriate resolution" once the review is complete, so the decision is now backed by a CCO-signed commitment to them. Added 2026-09-11: he told the clients the review is complete and asked for a call; no number on the record, no client reply

Open GitHub repo access to the sandbox

Waiting on Tim's GitHub username; low priority

Direct CCO contact with the Zakirs and the formal complaint log entry (Derek's written commitment)

Waiting on Brandon — on 2026-09-04 he considered calling and then chose to wait for Derek's response first, so the promise Derek made the clients in writing is still outstanding

Confirming the 2% fee on paper (MAP or client agreement)

Waiting on done 2026-09-03 — JT located and verified the 2017 MAP at 2% and the 2018 Dual MAP at 2.2% from rendered pages

Replacement TPA for three 401(k) plans after Nydia's resignation; 2025 Form 5500 due 2026-10-15

Waiting on Decision on who engages the new firm — still unowned at 2026-09-08 when the formal resignation letter arrived; no successor firm or date named by anyone

Whether to add JT to his Claude Team org (needed to share Claude Projects)

Waiting on Derek