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Disciplinary Cases
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Staff Transactions
A cashier was accused of failing to follow the correct procedure for accessing and amending charges on their own account. The member sought the Union’s professional help and guidance.
An LTU Individual Advice Consultant discussed the circumstances fully with the member prior to the meeting with the Bank. He then prepared and presented a detailed defence. In that defence he explained that the member’s history had been exemplary, that a number of issues had led to the mistake and that the Bank’s working arrangements had been a contributory factor. The Bank recognised these issues and quite rightly the proceedings were dropped.
However it’s very likely that, without the full support of an experienced LTU Individual Advice Consultant and professional representation, the member would have been unable to state their case properly and adequately, resulting in a disciplinary penalty.
Sales
The Bank wanted to discipline a Financial Adviser at Stage 2 of the Disciplinary Procedure for breaching investment rules and regulations when dealing with elderly and vulnerable customers.
An LTU Individual Advice Consultant assigned to the member prepared a detailed statement for submission at the disciplinary hearing. At the hearing the LTU Individual Advice Consultant spoke on behalf of the member and explained that no breach of the investment rules or regulations had taken place.
LTU launched an appeal on the basis that there were a number of fundamental flaws in the original decision. The LTU Individual Advice Consultant spoke with the Bank’s HR representative who agreed that the original charge was fundamentally flawed, as the member had not been sufficiently trained on the newly changed investment rules and regulations. The case was dropped.
Telephony
An LTU member in Telephony was called to a formal meeting under Stage 1 of the Bank’s Persistent Short Term Absence Policy. The member was issued with a letter confirming that they would be monitored in accordance with the first formal stage of the policy.
In discussion with LTU’s Advice Team, it became clear that the formal policy should not have been invoked and we advised the member that the decision contravened the Bank’s own PSTA Policy. The member exercised their right to appeal and LTU was able to demonstrate that the member’s Line Manager had not acted in accordance with Bank Policy. The decision was overturned without the need to attend a formal appeal hearing.
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