Ethics Complaint Flow Chart
Start
You want to file an ethics complaint against another Broker?
Try resolving by discussion with both Managing Brokers. Is the Issue resolved?
>Yes
>No, I want Ombuds
>No, I want to proceed with formal complaint
Issue Resolved. No complaint necessary
Consider an Ombuds, schedule with SAR. Did it resolve issues?
>Yes - Ombuds meeting has resolved issues.
>No - Ombuds did not resolve issues.
Meeting has resolved issues. No complaint necessary.
Issue not resolved. You want to proceed with filling a formal complaint. Was alleged offense within: (Must be filed within 180 days of actual knowledge of violation)
>The last 180 days
>More than 180 days ago
Complaint cannot be filed. Expiration of complaint period.
Contact SAR for specific filing forms.
____ Complaint Form
____ Narrative
____ Defined violationed of the code of ethics
____ All supporting documents
Return packet to the SAR. SAR sends to Grievance Committee.
>Grivence Committee determines no violation
>Committee believes there may be violations
Complaint is forwarded to Professional Standards for a hearing.
You are notified that complaint is dismissed! Is that acceptable to you?
>Yes
>No
Accept decision or drop your complaint.
You do not accept decision and appeal to BOD.