Client Complaint Procedure

Client Complaint Procedure

Introduction
Any client of Liberty North Capital Corp. (“Liberty North”) may file a complaint against Liberty North or any of its employees. If a complaint is being made on behalf of another person or entity, the person making the complaint must provide proof of authority to do so.

How to Submit a Complaint:

Liberty North prefers that all client complaints be made in writing, and provide the following details:

  1. Your name and contact information
  2. The name of the Dealer Representative who serves you
  3. The details of the transaction for which you are complaining
  4. Any other information that would be of help in investigating the complaint

 

Complaints should be submitted to Liberty North’s Chief Compliance Officer:

John Di Girolamo, CCO
Liberty North Capital Corp.
john@libertynorthcapital.com
416-471-6450

 

Procedure:

Once Liberty North has received your complaint, Liberty North will undertake to acknowledge your complaint within 5 business days. The Chief Compliance Officer (“CCO”) may contact you for more details, or to discuss your complaint. Once the CCO has a full understanding of your complaint, he will initiate an investigation. Once the investigation is complete, the CCO will send you a written summary of the investigation and its conclusions. Unless there are unusual circumstances surrounding your complaint, it should take less than 90 days to complete the investigation and provide you with the summary.