Complaint Handling Process
Gary Bean Securities policy is to request that all complaints be filed in writing. For confidentiality reasons, we will only deal with the client or another individual who has the client's express written authorization to deal with us.
GBS has appointed its Chief Compliance Officer (CCO) as its Designated Complaints Officer.
Your complaint and supporting documents which will be of assistance to us in reviewing your concerns can be sent to the following address:
Gary Bean Securities
Attn: Compliance Department – Designated Complaints Officer
588 Main Street
Exeter, ON N0M 1S1
We will acknowledge complaints promptly, generally within 5 business days of the receipt of your communication. You will be provided the name and contact information of the Complaints Officer as well as a copy of “An Investor's Guide to Making a Complaint”.
Once the investigation has been completed, a written summary of the investigation which addresses your concerns will be prepared and forwarded you within 90 calendar days of the receipt of your original letter. In the event that additional time is required, you will be notified in writing and provided with both an explanation as to why our response has been delayed along with our best estimate of the time required for completion of our response.
If you are dissatisfied with our examination of your complaint or the outcome of
the examination, you may refer to the Investor's Guide to Making a Complaint brochure which will be included with the acknowledgement letter. This brochure provides guidance regarding the options available to you should you wish to pursue the matter further and includes guidance on the statutes of limitations.