Customer Complaints
A WRITTEN grievance from a customer (letters, email, electronic messages) alleging mishandling; firms must keep complaint records, report them quarterly to FINRA, and certain serious allegations require prompt reporting and Form U4 disclosure.
Complaints feed FINRA’s Rule 4530 quarterly reporting and can appear on a rep’s public BrokerCheck record. Theft, forgery, and misappropriation allegations carry their own rapid-reporting duties.