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.
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