While employed at my prior broker-dealer, I allowed a husband to sign a form on behalf of his housebound wife with her knowledge and approval. Unfortunately, I only had verbal authorization from the wife allowing her husband to sign on her behalf, so while it seemed a relatively minor issue and no one was harmed, it resulted in my termination. FINRA originally asked me to write a response, which I did. I heard nothing further and thought it was over with. It is now over a year after I sent my written response and FINRA has written to ask me to come in for an on-the-record interview. Is it normal to be called in for an OTR after so much time has passed?
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