Handling customer complaints is one of the most critical—and often misunderstood—areas of regulatory compliance for investment adviser representatives. Whether it’s a client’s offhand comment or a formal arbitration demand, knowing how to respond is essential to protecting your license, your reputation, and your firm.
Join us for this essential training led by a seasoned compliance expert and legal professional Michelle Atlas-Quinn. This two-hour IAR CE-eligible webinar will walk you step-by-step through the procedures, obligations, and best practices when a communication might be a complaint.
You’ll Learn:
🔍 How to identify whether a communication qualifies as a reportable complaint
🛡️ The role of your firm’s compliance officer and what you can expect if you're the named representative
📝 What goes on your Form U4 (Question 14I)—and how to phrase it properly
⚖️ What happens when a lawyer gets involved, and the potential for mediation or arbitration
📉 What outcomes are possible—from denial to settlement to arbitration loss—and how they affect your E&O insurance
🧾 How complaints impact your BrokerCheck record, and what it takes to seek expungement
✅ Best practices to prevent complaints through proactive communication and documentation
Who Should Attend:
Investment adviser representatives, compliance officers, branch managers, and anyone in a client-facing role looking to mitigate risk and stay compliant.
Takeaways:
A clear understanding of what triggers mandatory disclosures
How to support clients while protecting yourself professionally
Examples of good vs. poor U4 disclosure language
A practical checklist for managing potential complaints
