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3721. Application

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Series 3000: Business Conduct and Client Accounts Rules
    Rule

    1. Part E of Rule 3700 applies to complaints submitted by a retail client or a person authorized to act on behalf of a retail client in the following form:

      1. a recorded expression of dissatisfaction with a Dealer Member or employee or agent alleging misconduct, or
      2. a verbal expression of dissatisfaction with the Dealer Member or employee or agent alleging misconduct where a preliminary investigation indicates that the allegation may have merit.
    2. For the purpose of subsections 3720(1) and 3721(1), alleged misconduct includes, but is not limited to:
      1. allegations of breach of confidentiality, theft, fraud, misappropriation or misuse of funds or securities, forgery, unsuitable investments, misrepresentation, or unauthorized trading relating to the client’s account,
      2. other inappropriate financial dealings with clients, or
      3. engaging in Dealer Member related activities outside of the Dealer Member. 
    3. Any matter which is the subject of a civil action or arbitration is not considered to be a complaint for the purpose of section 3721.
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