Customer Complaints
Chapters in this video
- 0:00 The three pillars: record, escalate, adjust fairly
- 1:32 Why oral complaints count and must hit the log
- 2:41 Escalation from branch or guaranteed IB to main office
- 3:28 Options on futures: same exact complaint pipeline
- 4:18 Fair account adjustments versus hidden coverups
- 5:17 Rapid-fire exam recap
What this video covers
- Why oral complaints must be reduced to writing and cannot be ignored just because the customer never put them in writing
- The record-forward-supervise chain that applies to both FCMs and IBs, including guaranteed IBs and branch offices
- Why unresolved complaints are subject to periodic review and must be addressed promptly
- How options-related complaints follow the identical process as futures complaints, with no separate or expedited handling
- What makes an account adjustment fair and documented versus a disguised coverup or self-serving reallocation
- Why misallocating residuals or hiding errors is a rule violation even when account totals still balance
Read the full lesson, free
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