Planning firm employee impersonated client
An office manager attached to financial planning firm, Henderson Maxwell, passed herself off as a member of a superannuation fund to obtain details of a client’s super arrangements.
The Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry has heard audio recordings of the conversation which took place between the Henderson Maxwell staffer and the superannuation fund.
The Royal Commission had earlier heard testimony from Fair Work Commission commissioner, Donna McKenna that that she had sought advice from Henderson Maxwell principal, Sam Henderson, but had not personally contacted her superannuation funds.
After hearing the recordings, Henderson confirmed that the woman making the calls was not McKenna and agreed with Senior Counsel assisting the Royal Commission, Rowena Orr QC that it was Henderson Maxwell’s Customer Service Officer, purporting to be Ms McKenna.
The Royal Commission had earlier heard that McKenna had strongly disagreed with the advice provided by Henderson and that following that disagreement her fees had been refunded by the planning firm.
Henderson later told the Royal Commission that he had considered terminating the employee who impersonated the client.
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