Investor Dispute Investigations and Customer Complaint Review
We work closely with you to identify an appropriate course of action with hostile or otherwise challenging investors in order to address and re-evaluate existing policies related to such disputes.
Our approach to investor dispute investigations and customer complaints
For FINRA clients, we work closely with your supervisory procedures to capture, acknowledge, and ensure adequate response to all written (including electronic) customer complaints. Where applicable, we will work with outside counsel under privilege to generate an independent and objective review of the merits of investor/customer complaints and our independent analysis includes an objective look at forensic data and internal procedures to facilitate a reasonable resolution.
Why partner with Waystone Compliance Solutions
Our team is equipped to handle the most complex investor dispute investigations and customer complaints. We offer specialized assistance and tailored strategies to help clients resolve disputes while ensuring compliance with regulatory procedures.
If you have questions about how we can help with an investor dispute or customer complaint, please reach out to our US Compliance Solutions team.