Service

Investor Dispute Investigations

at Waystone Compliance Solutions · San Francisco

Details.

Assistance with complex investor dispute matters, including identifying an appropriate course of action with hostile or challenging investors, addressing and re-evaluating existing dispute policies, and conducting independent analysis of forensic data and internal procedures to facilitate a reasonable resolution. For FINRA clients, the service works closely with supervisory procedures to capture, acknowledge, and ensure adequate responses to written, including electronic, customer complaints. Where applicable, Waystone works with outside counsel under privilege to provide an independent and objective review of complaint merits.

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