Centralized complaint intake
Keep complaint identification, confirmation, and case information in one working environment.
Complaint Tracking Software for FINRA Rule 4530
A complaint needs a clear path from intake to resolution.
Organize complaint information, route investigations, document the response, and prepare reporting information from a single working process.
- Complaint intake and investigation
- Product and problem code classification
- Reporting information and retained evidence
Financial firms that trust Patrina
Keep the complaint and the follow-up connected.
Patrina's Complaints Module brings identification, confirmation, investigation, reporting, tracking, and remediation into a single dashboard. It is part of Patrina's eight-module Compliance Suite.
Route complaints to the appropriate team, generate customizable reports and acknowledgements, retain interviews and relevant information, and connect product and problem codes to the complaint. The module also connects with Branch Risk Profile and Employee Heightened Supervision tools.
One case. A documented sequence of actions.
See how the work moves through the module, from the first record to the next action.
Start with a complete complaint record.
Bring the complaint into a consistent intake process and identify the parties, products, and issues that the firm needs to review.
- Collect and confirm complaint information
- Connect product and problem codes
- Route the case to appropriate team members
Keep the investigation with the case.
Document the conversations and supporting information that explain how the complaint is being handled.
- Conduct, track, and store interviews
- Retain relevant investigation data
- Generate acknowledgements and internal reports
Follow the case through reporting and remediation.
Use organized case information to support the firm's response, reporting analysis, and follow-up.
- Track status and remediation work
- Prepare customizable complaint reports
- Connect branch risk and heightened supervision context
Inside the modulePublished product views
Keep the essential work connected.
Give the team a consistent place for the information, decisions, and records behind each task.
Appropriate investigation routing
Funnel complaints to the team members responsible for investigation and follow-up.
Interviews and supporting records
Conduct, track, and store interviews and relevant information with the complaint.
Product and problem codes
Connect the appropriate product and problem classifications to each complaint record.
Reports and acknowledgements
Generate customizable customer and internal reports, with email acknowledgements to reporting parties.
Connected oversight context
Use the Compliance Suite's connections with Branch Risk Profile and Employee Heightened Supervision tools.
Separate case management from the reporting decision.
An organized complaint record helps the firm assess what must be reported, when it became aware of the issue, and what supporting information is available. Reporting treatment depends on the facts and the applicable provisions.
Specified events: promptly, within 30 calendar days
Rule 4530(a) covers specified reportable events, including written complaints alleging theft, misappropriation, or forgery. Its deadline is measured from when the member knows or should have known of the event.
FINRA Rule 4530(a)Written complaints: quarterly summary reporting
Rule 4530(d) requires statistical and summary information about written customer complaints by the 15th day of the month following the calendar quarter in which they were received.
FINRA Rule 4530(d)An ordinary complaint is not automatically a 30-day filing
Keep the specific event-reporting criteria distinct from quarterly complaint reporting. The firm's compliance team makes the reporting assessment.
Read the reporting requirementsWalk a representative complaint through the process.
Bring the information your team normally receives and the reporting outputs it needs. Use the demonstration to clarify handoffs, required fields, and record access.
Request a complaints demoBring these to the conversation.
- A sample complaint and acknowledgement
- Your product and problem code classifications
- Investigation ownership and supporting interviews
- The reports and export formats your team needs
What Patrina customers say.
Customer experiences with Patrina's service and compliance technology.
“We use Patrina primarily to help us monitor email communication between the advisor and the client. In addition, we find Patrina useful in helping us monitor external text messaging.”
“I moved to Patrina as my archiving vendor several years ago. By comparison, I find Patrina’s user interface substantially easier to navigate, and their prices are lower. I’ve been quite pleased with my decision.”
“I recommend Patrina to my state- and SEC-registered RIA clients because their email archiving system is equal to any in the market, and better yet, it’s less expensive than any of the others.”
“We chose Patrina because the solutions our previous archive partner provided did not meet our growing needs. Patrina’s service is impeccable.”
“After reviewing several competitors, Wingo Asset Management chose Patrina and couldn’t be happier. Patrina provides outstanding compliance record archiving services, exceptional customer service, and unbeatable pricing.”
“Patrina makes it convenient and efficient to retrieve emails and related information. Onboarding was simple and intuitive. Customer service has been consistently pleasant and helpful.”
“Patrina’s system works great, and their customer support is extremely efficient whenever we call. We’ve had a very positive experience with both their platform and their service.”
A clearer basis for your next step.
Bring your firm's process and questions to a focused product discussion.
Talk it through with PatrinaWhat does Patrina's Complaints Module cover?
The module covers complaint identification, confirmation, reporting information, investigation, tracking, and remediation. It also describes routing, customizable reports, acknowledgements, interview records, and product and problem codes.
Does every complaint have the same FINRA deadline?
No. Specific event reporting and quarterly written-complaint reporting are different obligations. Use the distinctions above and have your compliance team determine the treatment of the facts in each case.
Can we keep investigation evidence with the complaint?
Patrina describes the ability to conduct, track, and store interviews and relevant information as part of the complaint workflow. Review the documents and access requirements your firm needs during the demonstration.
Does the module connect with other compliance work?
The module connects with Branch Risk Profile and Employee Heightened Supervision tools within the Compliance Suite. Ask Patrina to demonstrate the connection relevant to your case.
Does preparing a report automatically file it with FINRA?
Preparing a complaint report and filing it with FINRA are separate steps. Patrina helps organize complaint records and reporting information; your firm reviews the reporting requirements and submits any required filings.
Test the fit for your firm's workflow.
Bring a representative process. See the relevant product path, clarify configuration questions, and agree the next evaluation step with Patrina.
- A walkthrough focused on complaint tracking and reporting
- Review roles, records, and reporting needs
- Questions answered in the context of your firm
Request a complaints demo
Complaint tracking and reportingRequest a demo