J.S. Held Complaints Handling Procedure

OBJECTIVE

J.S. Held, its affiliates, and subsidiaries (hereinafter known as “J.S. Held”) are committed to meeting the highest quality standard in the delivery of J.S. Held services. We will address any issue or complaint regarding our services or professional conduct raised by any third party promptly, fairly, and effectively. In the unlikely event that you wish to raise a complaint or have any other concerns with respect to any service we have provided you, you may submit a complaint by following this procedure.

HOW TO MAKE A COMPLAINT

Informal Stage – Initially, please raise your concern with the businessperson or J.S. Held liaison with whom you have been dealing with to see if the matter can be resolved without having to utilize this complaint procedure. Often, a simple conversation may be all that is required to resolve the problem.
Written Stage – In the event you are not able to resolve your concern or complaint through the informal stage, please complete the J.S. Held Third-Party Complaint Form with information about yourself and the nature of your complaint. All complaints received by J.S. Held shall be recorded in a central registry. The Legal Department will acknowledge receipt of your submission within seven business days and provide you a written response once we have had an opportunity to investigate the matter further. We strive to accomplish this within 30 business days but will let you know if we require an extension.
Mediation Process – In the event that you are still unhappy and have exhausted our complaints procedure after speaking with our legal team, you may wish to explore the mediation process. Please speak with our legal team to discuss mediation as an option, they can be reached at [email protected].

COMPLAINTS CONCERNING DATA PROTECTION

J.S. Held takes client and data privacy very seriously and has policies in place that aim to prevent any misuse of data. If you have any complaint regarding our data protection policies or practices, please contact our Data Privacy Officer at [email protected].

You also may have the right to make a complaint at any time to the specific Data Protection Authority for any country that J.S. Held conducts business. If you need assistance with a specific Data Protection Authority, please contact the Data Privacy Officer at [email protected].

J.S. Held

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50 Jericho Quadrangle
Suite 117
Jericho, N.Y. 11753
+1 516 621 2900
[email protected]

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J.S. Held, its affiliates and subsidiaries are not certified public accounting firm(s) and do not provide audit, attest, or any other public accounting services. J.S. Held is not a law firm and does not provide legal advice. Securities offered through PM Securities, LLC, d/b/a Phoenix IB or Ocean Tomo Investments, a part of J.S. Held, member FINRA/SIPC. All rights reserved.