How to File a Complaint
Security Financial Services & Investment Corp. Complaint Handling Procedures
At Security Financial Services & Investment Corp. our goal is to ensure that our clients are satisfied with the services we offer and that they receive the highest standard of customer service. Security Financial Services & Investment Corp. has procedures in place to handle any written or verbal complaints in a fair, prompt and confidential manner. The following is a summary of our complaint handling procedures.
Client Complaint Information Form
The Client Complaint Information Form is provided to new clients and clients who have filed a complaint. This is a document created by the Mutual Fund Dealers Association and provides information about options for making a complaint which can be found below:
Client Complaint Information Form (You will need Abobe Acrobat Reader to view & print this document)
Filing a Complaint with Security Financial Services & Investment Corp.
Complaints may be made to our head office by contacting our chief compliance offer Leo Belmonte at firstname.lastname@example.org or by mailing your written complaint to:
Security Financial Services & Investment Corp.
4665 Yonge Street, Suite 310
We encourage clients to submit their complaint in writing or by email if possible. If you have difficulty putting the complaint in writing please advise us so that we can provide assistance. Security Financial Services & Investment Corp. will only deal with the client or an individual who has the client’s written authorization to deal with us. This is to ensure the adequate privacy protection of client account information and to ensure the wishes of the client are being followed.
How the Complaint is Handled
Security Financial Services & Investment Corp. will acknowledge receipt of complaints within five business days of receiving the complaint. We review all complaints in a fair manner by gathering all the necessary information, reviewing all relevant documents and conducting interviews if necessary.
Security Financial Services & Investment Corp. will provide the client with a substantive response in writing within ninety days, unless we are waiting for additional information from the client or the nature of the case extends the standard response time frame. If the response cannot be completed within ninety days we will make sure you are aware of the progress, the reasons for the delay and the expected completion date.
Our response may be an offer to resolve the complaint, a denial of the complaint with the reasons outlined or another appropriate response. If you are unsatisfied with our response you will be provided with information regarding alternative options.
If your complaint relates to serious allegations¹, our initial acknowledgement will include a copy of the Client Complaint Information Form and our Complaint Handling Procedures document. Our response will summarize your complaint and our findings along with information about your options with the Ombudsman for Banking Services and Investments.
If it is determined that your complaint warrants a financial settlement, we may offer you the settlement and request the signing of a release and waiver for legal reasons.
You may contact us at any time to provide further information or to inquire as to the status of your complaint.
¹ As defined in the policies of the Mutual Fund Dealers Association of which Security Financial Services and Investment Corp. is a Member.