The applicant is a financial advisor whose employment was terminated from Investia Financial Services for insubordination. He appealed this termination to the ORLB on the grounds of that the termination was made in retaliation for his filing a harassment complaint against the company.
The applicant’s alleged harassment began with two emails from compliance officers who, in accordance with their job duties, pointed out to Mr. Conforti some technical issues affecting a client file, in one case, and the advisor's daily deposit, in the other. The applicant took great offense to being corrected by compliance officers and found that their criticisms amounted to harassment. He responded to each with anger (using capital letters in one) and indignation (demanding to know the employee's identity and authority in the other).
A customer service manager responded on behalf of one of the compliance officers asking the applicant to treat his employees with respect; they were simply doing their job. The applicant felt harassed by this correction, and responded that the manager was both incompetent and disrespectful.
On behalf of the Customer Services Manager, the Assistant Chief Compliance Officer responded in an email addressed to all parties in which he reprimanded the applicant for verbally abusing his staff and apologized to his staff for having to put up with the applicant’s non-sense (sic). The applicant responded to this email with a scathing indictment of the Assistant Chief Compliance Officer’s language skills (because of the misspelling of “nonsense”. This was followed up by a formal harassment complaint which contained such veiled threats as “I’m sure that at that opportunity Investia/IA Executives will wish to re-visit the unique situation where the perpetrators of harassment, its investigators, its judges and its executioners, were all and one the same people”. Two days after sending that harassment complaint, the applicant’s employment was terminated.