Best Practices for Resolving Customer Complaints


This course will provide an overview of best practices for resolving customer complaints and will focus on the regulatory obligations of firms and representatives and other considerations relating to complaints, including recordkeeping and reporting obligations. We will discuss the life cycle of a complaint, especially at how a complaint evolves into an arbitration or investigation. We will then review FINRA findings on these issues relating to failures to meet the firm and regulatory mandates and FINRA's disciplinary actions for such lapses. 

Learning Objectives

Upon conclusion of this course, you should:

  • 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

Designed For

Registered representatives 

Find this course for your license:

License or Certification