I know we're required to file an amended U4 (or U5) when we receive a customer complaint against an associated person, but what exactly constitutes a "complaint?" We often get letters or emails from clients "complaining" about declines in their account or problems in the overall economy, but I don't think these are the types of "complaints" we're required to report, right?
Register or login for access to this item and much more
All On Wall Street content is archived after seven days.
Community members receive:
- All recent and archived articles
- Conference offers and updates
- A full menu of enewsletter options
- Web seminars, white papers, ebooks
Already have an account? Log In
Don't have an account? Register for Free Unlimited Access