Step 3: Escalate to management


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If you are not satisfied with the response from the individual or local manager, ask about the company’s complaint process. This could involve contacting a manager or the firm’s complaint department. All investment firms have personnel in place to handle complaints the firm may receive. 

Ask for a brochure or other written material explaining their complaint process. Be sure to follow the steps they suggest. The company is required to respond to you within 90 days. 

Most complaints can be resolved through the firm’s process.

If you have not been successful in resolving your dispute directly with your firm continue to Step 4>Other options.