Author: Joshua Horn
Fox Rothschild e-Book / Desk Reference
October 1, 2009
The seeds of many customer-initiated arbitrations in the financial services industry are not sown in malfeasance or negligence but instead frequently stem from customer selection and long-term client management. When a client lodges a complaint, improper handling of that complaint exacerbates the problem, whether real or perceived. This guide was created to highlight common pitfalls, problematic client conduct and simple techniques that financial advisors may use to minimize their risk of being sued. It also addresses critical initial steps regarding the handling of a customer complaint.
Download the guide (pdf file).