The Rothenberg Group is committed to excellence in customer service. Our dedicated Associates take pride in doing what is right for the client in a professional manner. When a problem arises, we are committed to the fair and thorough investigation and the prompt resolution of the matter. Occasionally a Rothenberg Capital Management client may express concern relating to the performance, trading or a regulatory contravention on the brokerage account(s).
Any concern should be promptly addressed to Helen Corrigan, the Designated Complaints Officer. Within five business days, an acknowledgment letter, providing a summary of the matter, will be sent to the client. Included in that letter will be a brochure provided by the Investment Industry Regulatory Organization (IIROC) specifically addressing the complaint process, IIROC enforcement as well as Ombudsman and independent Arbitration options. Rothenberg Capital Management will continue to maintain regular contact with the client by phone or electronically until the issue is resolved.
It is the commitment of The Rothenberg Group of companies to maintain and protect all personal client information. Collection of such information will be limited to those details necessary for the purposes of a specific transaction and/or as required by the various financial institutions. For regulatory purposes, self-regulatory organizations including The Investment Industry Regulatory Organization of Canada, Canadian Investor Protection Fund and Autorité des Marchés Financiers, require access to personal information of current and former clients, employees, agents, directors, officers, partners and others that have been collected. The Rothenberg group collect, use or disclose such personal information obtained for regulatory purposes including surveillance of trading activity, sales financial compliance, Investigation of potential regulatory violations, and enforcement proceedings as well as information sharing with securities regulatory authorities.
Client information may be disclosed only for the purpose of which it was selected. Safeguards are in place to protect the information collected and clients shall have access to their information upon request. Obtaining consent can be done in writing or verbally. Your consent allows The Rothenberg Group of companies to provide you with the product or service requested. In doing so you are consenting to the collection and disclosure of information to the appropriate third parties listed above as well as the sister-companies in The Rothenberg Group: