SIE: Customer Complaints

Taken from our SIE Online Guide

Customer Complaints

FINRA defines customer complaint as any written statement from a customer alleging a grievance that involves the activities of a member firm or its associated persons in connection with the solicitation or execution of a securities transaction.

Member firms must promptly report to FINRA upon learning that the firm or an associated person is the subject of either of the following:

• Complaints specifically involving allegations of theft, forgery, or the misappropriation of funds
• Claims for damages of over $15,000 when filed against an associated person or $25,000 when filed against the member firm

Specifically,

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