NatWest Markets Securities Inc. (NWMSI) is a registered broker-dealer located in Stamford, Connecticut, USA. Securities business in the United States is conducted through NatWest Markets Securities Inc. a FINRA registered broker-dealer, a SIPC member and a wholly owned indirect subsidiary of NatWest Markets Plc.
Information about our Complaints Procedure.
How we will deal with your complaint
NatWest Markets Securities Inc. views a complaint as a customer’s expression of dissatisfaction about a service or product. We see complaints as opportunities to find out what we need to improve, as well as to rescue a client’s trust and confidence and recover that valuable relationship.
Our Complaint Management Policy has been developed to ensure that we achieve these important goals and also aims to promote a culture of fair treatment of clients, maintain the NatWest Group standards, and comply with regulatory requirements.
When dealing with your complaint, our aim is to be fair to you. If we find that you have suffered loss or inconvenience as a result of our error or omission, we will aim to return you to the position you would have been in had the error or omission not occurred.
We will acknowledge receipt of your complaint in writing.
We will thoroughly investigate your complaint to ascertain all the relevant facts.
We will endeavor to resolve your complaint as fairly as possible and at the earliest opportunity.
Your complaint will be handled by employees who are suitably equipped and competent. If we need to use a third party administrator, we will use only those which we have approved, and we will oversee their activities to ensure that they meet NatWest Markets’ Complaints Handling Standards and comply with our Complaint Management Policy.
If we consider that your complaint would be more appropriately dealt with by another part of the NatWest Group, we will refer your complaint to that business.
If your complaint relates to Payment Services, we will report to you in writing within 15 business days of receiving your complaint, detailing the outcome of our investigation, and, where your complaint is upheld, propose a fair resolution. If we are unable to give a full response within 15 business days due to reasons beyond our control, we will keep you informed and provide our full response within 35 business days of receiving your complaint.
For all other complaints, we will report to you in writing within 8 weeks of receiving your complaint, detailing the outcome of our investigation, and, where your complaint is upheld, propose a fair resolution. If your complaint is particularly complex, it may take longer to investigate or to reach a final decision; in which case, we will still write to you eight weeks after receiving your complaint and will tell you when we expect to be able to provide a response.
If we cannot agree
Certain complaints can be referred to a dispute resolution provider (e.g. the Financial Ombudsman Service in the UK, or Klachteninstituut Financiële Dienstverlening in the Netherlands). If this is the case with your complaint, we will write to let you know about your rights to refer the matter, who you can refer it to, and any time limits that apply. We will also send you explanatory leaflets where they are available.
Get in touch
If you want to contact us about any aspect of your complaint, please raise it in the first instance with your usual contact, or if you prefer please contact:
NatWest Markets Securities Inc, Compliance & Conduct, 600 Washington Blvd, Stamford CT 06901 or send an email to:
How to file a complaint with FINRA
Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. Sanctions may include fines, suspensions, a barring from the securities industry or other appropriate sanctions. Click here for more information on how to file a complaint with FINRA.