Customer Complaints

  1. 9. Retirement Plans
  2. 10. Brokerage Office Procedure
  3. 11. Recommendations Professional Conduct And Taxation
  1. 11.1 Introduction
  2. 11.2 Professional Conduct In The Securities Industry
  3. 11.3 Fair Dealings With Customers
  4. 11.4 Recommendations To An Institutional Customer
  5. 11.5 Information Obtained From An Issuer
  6. 11.6 Borrowing And Lending Money
  7. 11.7 Gift Rule
  8. 11.8 Outside Employment
  9. 11.9 Private Securities Transactions
  10. 11.10 Customer Complaints
  11. 11.11 Investor Information

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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