Best Practices for Resolving Customer Complaints

Overview

This course covers best practices for resolving customer complaints, focusing on regulatory obligations, recordkeeping, and reporting. It discusses the life cycle of a complaint, from initial filing to arbitration or investigation, and reviews FINRA findings and disciplinary actions for non-compliance.

Learning Objectives

have a solid familiarity with and understanding of what constitutes a customer complaint
understand how to handle customer complaints regarding options
understand how to handle municipal bond customer complaints
have a solid understanding of how a complaint can affect your employment prospects
have a solid understanding of how Forms U4 and U5 feed into BrokerCheck

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At WebCE, we are passionate about delivering exceptional professional development solutions. With world-class customer support and education to serve multiple professions, we're here to help professionals reach their career goals.

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