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Date: 2026-09-05
Title: Client Follow-Up Documentation / Guidance
Source: mail:///messages/AAMkAGE2Nzc1MTNkLTA2MDUtNDc4MC1hNDg4LTcwZDk4OTg5NzU2MwBGAAAAAACzaNa_9qnVRYNdYXfKyCC_BwAGiQQE9_gzSoKwwf79iYOuAAAAAAEMAAAGiQQE9_gzSoKwwf79iYOuAAKaioxeAAA%3D
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From: Jamar Anderson <jamara@triumphcapitalmanagement.com>
To: Jeffrey Thomas <jt@triumphcapitalmanagement.com>
Sent: 2026-09-05 6:15 PM ET
Subject: Client Follow-Up Documentation / Guidance

Hi Jeff,

I wanted to ask for your guidance on how best to document client follow-up items where Rheece or I are waiting on Derek's input, direction, approval, or direct response.

Given the recent client escalations and references to potential complaints with FINRA, the SEC, or other regulatory bodies, I want to make sure we have a clear documentation process in place.

In situations where Rheece or I communicate to clients that Derek will follow up based on the direction or timeline provided to us, I want to make sure those situations are documented clearly so the record reflects what was communicated, who provided the direction, what remains pending, and whether the item requires Derek's direct follow-up, advisor approval, or compliance review.

I recognize the impact client complaints and potential disclosures can have, so I want to make sure Rheece and I are acting in good faith, setting accurate expectations, and keeping a clean paper trail.

Please let me know how you would prefer we document these items moving forward and whether there is anything else Rheece or I should be doing in situations like this.

Thanks,

Jamar Anderson
Director of Operations & Client Experience