Customer Complaint Management (SEC Rule 4530)

Eliminate the errors caused by relying on Outlook e-mails, spreadsheets, and Access databases to manage your confidential customer and complaint information. Our solution is specifically designed to address SEC Rule 4530.


In an increasingly strict regulatory environment, accurately managing your customer complaint information is the key to avoiding millions of dollars in fines and reputation harm. Cyfeon’s secure Customer Complaint Solution brings compliance practices out of the technology dark ages by securely tracking, storing and automating complaint information across your entire organization.

Financial services organizations governed by the SEC and FINRA, who are seeking enhanced automation with financial services customer complaint management software.

An end-to-end enterprise grade software solution specific to managing customer complaint activity for financial service compliance departments.


CLIENT FACING – Helps remedy customer/firm conflict through more transparent and current information down to the branch level

INTERNAL – Dramatically increases (and automates) communication between branches, regions, and HQ.

REGULATORY – Automated file distribution to FINRA to fulfill the rule 4530 obligation. Facilitate messaging from FINRA back to your firm.

The Customer Complaint Solution comes with Cyfeon’s integrated Compliance Dashboard, which is designed to serve as a technology guardrail that greatly reduces the risks of human error. Cyfeon Solutions protects your people, your reputation and your organization. Contact us today to discuss how our financial services customer complaint management software can address your organization’s specific needs.


XML File publishing to FINRA

Action item Creation

Case Management

Personnel Workflow

Business Rule Monitoring and Alerts

Import of Firm / rep CRD information


Document Management and Search

Validation of Action Workflow

U4/U5 File Aging

Ad Hoc Report Generation


Disposition Details

Audit Tracking of Changes

Role and Group-based Roles

Purpose built to fulfill SEC Rule 4530 obligations. Most all other solutions are built for multiple industries whereas Cyfeon built a technology stack specific to financial service companies.

View our Complaint Management brochure