Client Complaint Information
We are committed to providing you with an exceptional level of service and providing you with the appropriate financial products. Should a situation arise though that you cannot resolve directly with your advisor, there are steps you can take which will depend on the nature of the complaint.
For all complaints you should contact your advisor first to make certain they have a clear understanding of your concerns and expectations. If a resolution through your advisor is not possible then you should contact our Chief Compliance Officer/Ultimate Designated Person:
Sean Lawton at 204-944-1144 ext. 3569 firstname.lastname@example.org
or any one of our compliance officials:
who will investigate the matter and help you resolve the situation.
Summary of the Complaint Process at Lawton Partners:
Lawton Partner’s complaint handling procedure works as follows:
- A complaint is received. If the complaint is a verbal one, the Chief Compliance Officer works with the parties involved to get the pertinent details in writing so the complaint can be addressed properly.
- Lawton Partners provides an initial written response within five business days of receiving the complaint.
- We review the client’s file, make copies of the relevant documents, interview the representative, and request a written summary of events from the representative.
- A meeting is called with the compliance committee to review the documents and to request any additional information from the representative. The compliance committee consists of three partners, the Chief Compliance Officer, and the backup branch manager.
- Following the meeting and review, a formal response complete with recommendations to address the complaint (if any) is prepared and sent out by mail to the complainant. This response is sent out to the complainant normally within 4 to 6 weeks of receiving the initial Lawton Partners response.
- If the actions of the representative warrant internal sanctions, settlements, or other forms of disciplinary actions, they are applied and the appropriate regulatory bodies are informed.