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Have you ever been the subject of customer-initiated complaint, arbitration claim or civil litigation? This is a risk that all financial advisors must face. Join compliance attorney Michelle Atlas-Quinn for a review of the common cause of customer-complaints and the strategies you can put in place to mitigate your risk.

Learning objectives: 

  • Common causes of investor complaints
  • Procedures you must follow if you are subject to a complaint
  • Best practices for avoiding complaints


*CE/CPE Eligible: 1 CE credit is available to subscribers with these designations: CFP, CLU, ChFC and RICP. CPA subscribers will earn 1 CPE credits.

Field of Study: Specialized Knowledge

Prerequisites: There are no prerequisites for this session.

Advanced Preparation: None

Program Level: Basic

Delivery Method: Group Internet Based

NASBA Approved

Financial Experts Network (Sponsor Id#: 145173) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:


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A CFP ID number will be required in order to receive CE credit for this webinar.