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Leon
Leon, Solicitor
Category: Australia Law
Satisfied Customers: 42631
Experience:  BEc Dip Ed, Dip Law (SAB) MTax (UNSW)
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What procedure do I follow if I wish to have my financial investment

Customer Question

What procedure do I follow if I wish to have my financial investment history with NAB from 1998-2008 examined for any discrepancy or malfeasance?
Submitted: 1 year ago.
Category: Australia Law
Expert:  Leon replied 1 year ago.
Good Afternoon
My name is ***** ***** I am a NSW Solicitor. Thank you for your question, and will do my best to assist you with your question.
Have you commenced proceedings in the court?
Are you still a customer of the back?
Customer: replied 1 year ago.
I have not commenced any proceedings. My question is asking you what to do if I want to proceed.
Yes, I am still a customer of the bank.
Customer: replied 1 year ago.
Do I write to the bank asking for copies of my investment file as a starter?
Expert:  Leon replied 1 year ago.
Good Afternoon
If the files are about you then you have a right to get copies of them and you can make a request to the bank for all records during that period
The issue is that the law only requires them to be kept for 7 years and they may not have them.
This is the first option.
Do you have an investment manager?
Customer: replied 1 year ago.
Yes, I have an investment manager.
Expert:  Leon replied 1 year ago.
Good Afternoon
You talk to him first and get the request in writing for the information you want to be provide to you.
He will then see what he can give you.
This is the first step.
I hope this makes sense and is of assistance?
Customer: replied 1 year ago.
Thank you. Unfortunately my investment manager is overseas at present, so I thought I would see if there was something I could do to get started. Are you saying I should have my investment manager put in writing to me the questions I need to ask NAB?
Expert:  Leon replied 1 year ago.
Good Afternoon
You can ask his PA or secretary or the manager of the branch
I suggested the Investment manager as they would have bester knowledge and be able to get them quicker.
If you deal with a branch they will have those records at the branch.
If you contact Head office they will send the request to the branch.
I hope this makes sense and is clearer. If there is nothing further thank you for using my services.
If I have missed anything, or you have any further questions please let me know
If there is anything else in the future please do not hesitate to ask.
Please do not forget to leave positive feedback.
Regards
Leon
Customer: replied 1 year ago.
Thank you for your help. You have been most kind and patient.
Expert:  Leon replied 1 year ago.
Good Afternoon
All the best and good luck with it.
You are very welcome and thank you for using my services.
If I have missed anything, or you have any further questions please let me know
If there is anything else in the future please do not hesitate to ask.
Please do not forget to leave positive feedback.
Regards
Leon