Series 62


Recommendations Professional Conduct And Taxation - Customer Complaints

All written complaints, received from a customer or from an individual acting on behalf of the customer, must be reported promptly to the principal of the firm. The firm is required to:



  • Maintain a copy of the complaint in a supervising office of supervisory jurisdiction.
  • Electronically report all complaints to FINRA within 15 days of the end of each calendar quarter.
  • Report complaints within 10 days to FINRA if the complaint alleges misappropriation of funds or securities or forgery.
Investor Information

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