US Compliance SolutionsInvestor Dispute Investigations and Customer Complaint Review
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.
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.