Further, 15 days after learning of any investigation, proceeding, or customer complaint against him arising from his securities, insurance, or finance roles, Bishop was obligated to notify the Office.
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Among other items, FBW alleged that on April 4, 2007, it received a customer complaint alleging that Kuta had engaged in an unsuitable investment strategy and also improperly used discretion and generated high commissions.
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Of course the same set of facts seems a violation to many in-house compliance officers and industry regulators because it subverts, compromises, and circumvents perhaps the most critical of all first lines of defense: knowledge of a customer complaint.
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There are lots of lawyers and compliance employees at major firms such as Wells Fargo, Merrill Lynch, Morgan Stanley, JP Morgan, and UBS, who spend much of their day putting out small customer complaint brush fires to avoid larger conflagrations.
In Bickham, we have an individual stockbroker who had previously been wrongly referenced by name in a customer-complaint arbitration case.
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Only you and the customer would hear the complaint or praise.
Having tools that enable them to get the job done can convert your customer care team from the complaint department to the happiness squad.
Each complaint will prompt a customer's Internet provider to notify the customer that their Internet address has been detected sharing files illegally.
Sometimes manufacturers don't learn of a quality issue until after a customer goes to the dealer with a complaint and the dealer ships the faulty part back to the factory.
Only one out of every 300, 000 JetBlue passengers files a complaint for overbooking, baggage mishandling or other customer service problems, compared with three for big carriers like Continental and US Airways, according to federal data.
Anne was, for the record, everything one could hope for in a call center rep: She was passionate about doing the right thing for a disgruntled customer (me), poised and professional about how she handled my complaint, and profusely apologetic that she could not do anything to facilitate a more satisfying resolution to my problem.
One complaint already on the Web-site accounted the story of a customer who got duped into an exorbitantly high interest rate on his purchase when the customer service representative lied to him about whether he qualified for the "no interest, no payment" financing.
The Complaint alleges that Blankenship never opened PIMCO accounts on behalf of this or any customer and that the stockbroker never had an affiliation with that company.
Something tells me the days of customer service treated as a corporate backwater will be as distant as those customers who actually used to write complaint letters, private letters that had no audience, to corporate headquarters.
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