Jamar's request for a documentation process — 2026-09-05

Jamar's email to JT at 6:15 PM ET, forty-six minutes after he escalated the Jared Thompson margin thread to Derek. He asks Compliance for a documented process covering the situation he had just been in: he or Rheece tell a client Derek will follow up, and then the follow-up does not happen on the stated timeline. This is a direct ask of JT and it is unanswered.

Summary

• Jamar asks how he and Rheece should document client follow-up items where they are waiting on Derek's input, direction, approval, or direct response.
• He ties the ask explicitly to "the recent client escalations and references to potential complaints with FINRA, the SEC, or other regulatory bodies" — the Zakir matter and, though he does not name it, the Thompson thread he had just escalated.
• He wants the record to capture four things: what was communicated to the client, who provided the direction, what remains pending, and whether the item needs Derek's direct follow-up, advisor approval, or compliance review.
• He frames it as protecting good faith and accurate expectations: he and Rheece pass on timelines they do not control and are exposed when those timelines slip.
• He asks whether there is anything else he and Rheece should be doing in these situations.
• This is the third time in three days Jamar has brought a matter with regulatory exposure to Compliance before being asked.

Decisions

• None; he is asking JT to set the process.

They asked me for

• Jamar: a preferred method for documenting client follow-up items that are pending on Derek, and any additional steps he and Rheece should be taking.

I asked them for

• Nothing yet; unanswered as of the close of the window.

Concerns and frustrations raised

• Jamar: that he and Rheece relay commitments on Derek's behalf, cannot control whether those commitments are met, and currently have no defined way to record that the ball is in Derek's court. The subtext is that the exposure lands on the people who made the promise to the client.

What they are focused on

• Jamar: a clean paper trail on advisor-pending client items, before the next escalation rather than after.

Doable / not doable / needs a decision

• A documented process for advisor-pending client follow-ups → doable, and worth doing properly rather than quickly. It is close to a complaint-adjacent escalation log and should be built so it feeds one.
• Whether it becomes a firm-wide procedure or a note to two people → needs a decision with Brandon as CCO; the answer JT gives Jamar becomes the de facto standard either way.

Action items

Mine

• Answer Jamar with a defined method for logging advisor-pending client items, capturing his four fields (what was communicated, who directed it, what is pending, what review it needs) — target 2026-09-09 — (Notion: not pushed)
• Decide with Brandon whether this becomes a documented firm procedure and how it relates to the complaint log — target 2026-09-09 — (Notion: not pushed)

Theirs

• Nothing raised.

Suggestions for me

• Answer this one properly. Jamar is asking Compliance to give him cover for a risk the Firm actually has, and he is asking in writing before an incident rather than after — that is the behavior to reinforce, and a thin answer would discourage it.
• The request is really about Derek's response latency, stated diplomatically. Any process JT defines will also produce a record of how long advisor-pending items sit, which is useful and which Derek should know about rather than discover.
• Rheece Hilliard is named as the other person affected but is not on the email; whatever process JT defines needs to reach him too.
• The natural build is a short log with Jamar's four fields plus a raised date and a promised-by date, kept where Compliance can see it — close enough to the complaint log to escalate cleanly, separate enough that routine items do not become complaints by filing.

Notable quotes

"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." — Jamar Anderson

"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." — Jamar Anderson

"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." — Jamar Anderson