A JLG Webinar | Customer Complaints: Litigation Risks and Key Considerations for Firms and Individual Advisers

Litigation attorney Dharmi Mehta examines customer complaints in this 45-minute webinar, focusing primarily on litigation risk mitigation, with regulatory considerations addressed.

The session focuses on early communications, documentation, and supervision that shape discovery, claims, and defenses long before a formal dispute arises.

Attendees will gain practical insight into how to manage complaints strategically, protect the record, and reduce both firm-level and individual adviser risk.

EVENT DETAILS

Date: March 24, 2026

Time: 10:00 am (PST)

Venue: Virtual

Duration: 45 minutes and 10 minutes Q&A

Cost: Free

Register at: https://us02web.zoom.us/webinar/register/WN_M8t5dc5OQNuwrwllmrOeSg

Email questions prior to the event to [email protected].

This Webinar Will Cover

• What legally qualifies as a customer complaint
• How complaints escalate into arbitration and litigation
• Common adviser mistakes that can become sworn admissions
• Firm-level exposure tied to supervision, documentation, and inconsistent responses
• Best practices for protecting the firm, the adviser, and the record
• Practical scenarios drawn from real disputes

Who Should Attend

• Financial advisers
• Supervisors and firm leadership
• Compliance and risk professionals
• Anyone involved in complaint handling or adviser supervision

Hope to see you there!